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FINRA Awards for Xi Chen

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0008509/18/2017Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Ian Ross
Arbitrator(s): William C. Pack, Jeffrey M. Allen, Arocles Aguilar
Hearing Site: San Francisco, CA
14-0074609/02/2014Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra Volland Achkire
Arbitrator(s): Mary Margaret Bush, Linda P. Drucker, Max Zeigler
Hearing Site: San Francisco, CA

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