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FINRA Awards for Roger J. Hawke

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0426909/10/2013Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
Checkmark IconExpungement

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