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FINRA Awards for Alan L Frank

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0132709/24/2012Claimant(s): Lisa Mazzone, Alexandra Mazzone UGMA, Nicholas A. Mazzone UGMA
Claimant Lawyers(s): Alan L Frank
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Louis H. Miron, John R. Buehler, Felicia T. Farber
Hearing Site: Newark, NJ
Checkmark IconExpungement
09-0240006/24/2010Claimant(s): Michael Jacobs, Michael Jacobs Custod. for Julie Jacobs, Michael Jacobs Custodian Jeffery Jacobs, Diane Jacobs Disclaimer Trust
Claimant Lawyers(s): Alan L Frank
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Mitchell S. Friedman, Richard Gee, Andrew Shearman Benjamin
Hearing Site: New York, NY
Checkmark Icon$0

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