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FINRA Awards for Michael S. Yauch

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Displaying 21-30 out of 30 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0145001/03/2017Claimant(s): WRI Vending Machines.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez Freire
Arbitrator(s): Michael S. Yauch, Joseph Neal Richardson, Maria Eliz Hernandez
Hearing Site: San Juan, PR
Checkmark Icon$983,336
15-0029509/09/2016Claimant(s): Jenny Robles Adorno, Jose Rivera Riera, Desarrollos Jarra S.E.
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Edwin A. Zipf, Roberto C. Quinones
Arbitrator(s): Thomas Joseph Atkinson, Donald Theodore Ryce, Michael S. Yauch
Hearing Site: San Juan, PR
Checkmark Icon$750,000
15-0153704/21/2016Claimant(s): Francis Freeman
Claimant Lawyers(s): Vincent J. Booth
Respondent(s): Wells Fargo Advisors, David Matty
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Lawrence R. Maxwell, Coleman Robert Perry, Michael S. Yauch
Hearing Site: Dallas, TX
Checkmark Icon$0
15-0058210/06/2015Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): David Nell
Respondent Lawyers(s): David Nell
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
14-0292805/15/2015Claimant(s): Sidney Saxon IRA
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$300
14-0090509/24/2014Claimant(s): Konrad Molski
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$0
12-0148512/18/2013Claimant(s): Gaile Withers
Claimant Lawyers(s): Cynthia R. Levin Moulton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Rebecca Swenson
Arbitrator(s): Jeffrey R. Jury, Michael S. Yauch, Michael Louis Goldstone
Hearing Site: Houston, TX
Checkmark IconExpungement
12-0394110/29/2013Claimant(s): Joseph P. Ahern Revocable Trust
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Raymond L. Britton, John K. Boyce, Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$0
09-0550305/24/2011Claimant(s): Boushy North Investments Ltd.
Claimant Lawyers(s): Paul I. Aronowitz
Respondent(s): Penson Financial Services, Second Mile Wealth Management.
Respondent Lawyers(s): Matthew G. Nielsen, Will S. Montgomery
Arbitrator(s): Bernard D. Hammer, Kurt D. Steiner, Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$500,000
08-0455912/23/2009Claimant(s): James R. Smith and Carol A. Smith
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Susan A. Logsdon
Arbitrator(s): Mary Ann Tunick, Charles E. Munson, Michael S. Yauch
Hearing Site: Houston, TX
Checkmark Icon$123,324

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