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FINRA Awards for Theresa Lillian Mains

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0153801/17/2014Claimant(s): Elliott Rosenzweig
Claimant Lawyers(s): Kevin D. Galbraith
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julian W. Wells
Arbitrator(s): Steven Gerard Goerke, Richard W. Epstein, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement
11-0239605/02/2013Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
Checkmark IconExpungement

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