FINRA Awards for Irving Mindes

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Displaying 3 out of 3 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
10-02304	05/27/2011	Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Devin A. Donohue Respondent(s): Robert Swagger Respondent Lawyers(s): Walter H. Flamm Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris Hearing Site: Phoenix, AZ
08-04148	11/10/2009	Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Donald B. Wallace Respondent(s): Charles Buckhannon Respondent Lawyers(s): Rosemary Cook Arbitrator(s): George N. Roy, Irving Mindes, Marc Kalish Hearing Site: Phoenix, AZ
07-01180	11/21/2008	Claimant(s): Alice Russo, Anthony Viola, Audrey Kolar, Barbara McCutcheon, Carolyn Wright, Chad Mastakoski, Dale Kolar, Daniel Kelly, Darlene Wachel, David Petit, David Swarner, Douglas Meaden, Eleanor Evans, Gerald Duncan, Helen Papp, Jack Wygle, Jared Petit, Jason Petit, John Williams, Joleen Petit, et al Claimant Lawyers(s): Christopher Mader Respondent(s): Michael Dawes, Emmett A. Larkin Company. Respondent Lawyers(s): Howard Schiffman, Michael A. Dawes Arbitrator(s): Irving Mindes, Virginia H. Wertz, Frederick K. Steiner Hearing Site: Phoenix, AZ		Stipulated Award