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FINRA Awards for David I. Stern

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0012506/04/2015Claimant(s): Harriett Finkel, Sidney Finkel
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Barth Satuloff, Joseph Benalt, David I. Stern
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
13-0122705/22/2015Claimant(s): Michael S. Shaw IRA Rollover
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrea M. Greene
Arbitrator(s): Herbert Branitsky, David I. Stern, Mark A Bilawsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement

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