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FINRA Awards for UBS Financial Services Inc.

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Displaying 411-420 out of 1,564 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0344007/06/2021Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
20-0275507/01/2021Claimant(s): Adam Bramson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Larry Evert Carlson
Hearing Site: Chicago, IL
21-0130007/01/2021Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
21-0097206/29/2021Claimant(s): Donald Jackson
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Oklahoma City, OK
20-0200906/23/2021Claimant(s): Anita Daguilar
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
20-0214806/23/2021Claimant(s): Jason Stephens
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
20-0263906/22/2021Claimant(s): John Petika
Claimant Lawyers(s): Harris Freedman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
20-0259006/15/2021Claimant(s): Richy Scoggin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX
19-0240706/09/2021Claimant(s): Jeffry Schneider
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): CIBC World Markets Corp., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth R. Aylett, Omar Perez
Arbitrator(s): Clive I. Morrick
Hearing Site: New York, NY
20-0305906/04/2021Claimant(s): Bradley Finnigan
Claimant Lawyers(s): Chelsea Masters
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA

1,564 Results

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