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FINRA Awards for Thomas Nelson

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Case Number Award Date Case Summary Customer Case? Amount Granted
20-0399510/27/2021Claimant(s): Michael Williams
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Brian Shambo, Daniel Markow, Kyle Morgan, Merrill Lynch Pierce Fenner & Smith Inc., Thomas Nelson
Respondent Lawyers(s): Rachael Luken Carp
Arbitrator(s): Lawrence Alan Saichek, Will Murphy, Magda M. Fernandez Torres
Hearing Site: Boca Raton, FL
12-0219804/29/2014Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
Expungement

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