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FINRA Awards for James I. Berliner

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0351711/19/2015Claimant(s): Adam Frisch
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Clarence Smith, Alexandra L. Dunaif, James I. Berliner
Hearing Site: New York, NY
10-0433909/21/2012Claimant(s): Jacquelyn Kirkland
Claimant Lawyers(s): Leslie Wybiral
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): LLoyd B. Chinn
Arbitrator(s): Clarence Smith, Patricia A. DeWitt, James I. Berliner
Hearing Site: New York, NY
08-0238911/19/2010Claimant(s): Joseph Borkowski
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Boyd H. Scheff, Lincoln W. Craighead, James I. Berliner
Hearing Site: New York, NY

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