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FINRA Awards for Thomas Roy Spencer

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0316811/10/2014Claimant(s): Ari Golan
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Bernard A. Becker, Lawrence S. Silver, Thomas Roy Spencer
Hearing Site: Miami, FL
Checkmark IconExpungement
13-0298311/10/2014Claimant(s): CI USVI
Claimant Lawyers(s): John P. Scordo
Respondent(s): Interactive Brokers
Respondent Lawyers(s): John J. Nielands
Arbitrator(s): Susanne J. Hollander, Thomas Roy Spencer, Stefano Ferruggia
Hearing Site: Miami, FL
Checkmark Icon$0
11-0316609/25/2012Claimant(s): Bernard Kaszovitz, Floradahl Sacks Trust
Claimant Lawyers(s): David H. Charlip, Stephen David Murakami
Respondent(s): Sean Clancy, Janney Montgomery Scott LLC
Respondent Lawyers(s): Alex J. Sabo
Arbitrator(s): Seth L. Finkel, John H. Claudy, Thomas Roy Spencer
Hearing Site: Miami, FL
Checkmark IconExpungement

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