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FINRA Awards for Herbert E. Pounds

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0257010/10/2014Claimant(s): Craig D. Porter Family Ltd. Partnership
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): UBS International.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Antoinette M. Romano, Brian James Tagtmeier, Montie G. Grimes
Hearing Site: Houston, TX
Checkmark IconExpungement
11-0109309/13/2011Claimant(s): Sheryl Mead
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
Checkmark Icon$0

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