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FINRA Awards for UBS Asset Managers of Puerto Rico

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0178409/09/2015Claimant(s): Berta Ganapolsky
Claimant Lawyers(s): Jonathan F. Claussen
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR, UBS Asset Managers of Puerto Rico, UBS Trust Company of Puerto Rico
Respondent Lawyers(s): Gregg M. McCormick, Roberto C. Quinones
Arbitrator(s): Monroe Mitchel, Brian P. Jakes, Richard Merritt Langway
Hearing Site: Ft. Lauderdale, FL
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