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FINRA Awards for Rodney Ray Hatter

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0160808/10/2017Claimant(s): Josette S. Hatter IRA, Rodney R. Hatter SEP IRA account
Claimant Lawyers(s): Rodney Ray Hatter
Respondent(s): Brian Henderson, UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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