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FINRA Awards for Samuel Thayer Rumpf

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0375808/06/2015Claimant(s): Alexander Walbridge Rumpf, Nancy Cornell Rumpf, Samuel Thayer Rumpf
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Carter Smith, Jeffrey Catlin, Jeffrey Smith, UBS Financial Services Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Robert H. Baker
Hearing Site: Cleveland, OH
Checkmark IconExpungement

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