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FINRA Awards for Michael Howard Rosenbloom

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0477404/01/2010Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
Checkmark IconStipulated Award and Expungement

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