FINRA Awards for Robert A. Uhl

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Displaying 21-25 out of 25 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
07-00879	12/06/2007	Claimant(s): Jodeen Fletcher Claimant Lawyers(s): Robert A. Uhl Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge Hearing Site: Omaha, NE		$0
05-06065	11/27/2007	Claimant(s): Gretchen L. and James Fairbairn Claimant Lawyers(s): Robert A. Uhl Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Lloyd S. Clareman Arbitrator(s): Otto K. Hilbert, Steven M. Feder, David L. Erickson Hearing Site: Denver, CO		Stipulated Award
06-04895	10/12/2007	Claimant(s): Anthony Ivankovich Claimant Lawyers(s): Robert A. Uhl Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Lloyd S Clareman Arbitrator(s): Sanford J. Prizant, James J. Eccleston, Ahmed A. Patel Hearing Site: Chicago, IL		Stipulated Award
06-02898	10/11/2007	Claimant(s): Ellen Gibson, Harry Gibson, Harry and Ellen Gibson Family Trust Claimant Lawyers(s): Robert A. Uhl Respondent(s): Thomas Gau, AIG Financial Advisors., Oregon Pacific Financial Advisors Respondent Lawyers(s): Samuel Y. Edgerton Arbitrator(s): Brian L. Spahr, Benjamin F. Breslauer, Frank L. Wolf Hearing Site: Los Angeles, CA		Stipulated Award and Expungement
06-03867	09/07/2007	Claimant(s): Alfonso Pena, Alfonso C. Pena 2004 Rev. Living Trust Claimant Lawyers(s): Drew D. Hansen, Robert A. Uhl Respondent(s): Donald Gloisten, Gerard Gloisten, GBS Advisors, GBS Financial Corp. Respondent Lawyers(s): Ben Suter Arbitrator(s): James H. Frank, Dean Schneider, Marc S. Joseph Hearing Site: Los Angeles, CA		$586,095