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FINRA Awards for Trustee RMA Acct.

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0376610/12/2009Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
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