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FINRA Awards for Nathan Levy

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Case Number Award Date Case Summary Customer Case? Amount Granted
09-0575411/22/2011Claimant(s): Mary Brown, Paul Allgyer
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Jerry C. Prestridge, Nathan Levy, William Edward Buck
Hearing Site: Houston, TX
Checkmark IconExpungement
06-0462110/05/2007Claimant(s): Christine McGinnis
Claimant Lawyers(s): Joseph J. Hroch
Respondent(s): Fredrick McGinnis, UBS Financial Services Inc.
Respondent Lawyers(s): James M. Kimbell, Paul D. Flack
Arbitrator(s): Nathan Levy, Mark C. Watler, Michele N. O'Brien
Hearing Site: Houston, TX
Checkmark IconDismissed by Rule 12206

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