FINRA Awards for UBS Financial Services Inc.

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Displaying 641-650 out of 1,564 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-02088	03/19/2019	Claimant(s): James Meyers Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David J. Butler Arbitrator(s): Jim Geiger Hearing Site: Pittsburgh, PA
16-01710	03/15/2019	Claimant(s): Seth Radow Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Susan B. Gans-Smith, Marc S. Joseph, Michael R. Diliberto Hearing Site: Los Angeles, CA
18-00848	03/15/2019	Claimant(s): Ken Kavanagh Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): D'Anna Harper Arbitrator(s): Joseph I. Liebman Hearing Site: New York, NY
15-00383	03/06/2019	Claimant(s): Marc Horner Claimant Lawyers(s): Laurence M. Landsman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Carole G. Miller Arbitrator(s): Mark L Miller, Michael L. Weissman, Wendell White Clancy Hearing Site: Chicago, IL
18-01821	02/28/2019	Claimant(s): Forest Faro Claimant Lawyers(s): Joelle A. Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Martin A. Feigenbaum Hearing Site: Miami, FL
18-01130	02/26/2019	Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle A. Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig. Vollono Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX
18-01553	02/26/2019	Claimant(s): Irvin Rosenzweig Claimant Lawyers(s): Christopher Coss Respondent(s): UBS Financial Services Inc., PNC Investments Respondent Lawyers(s): Frederic L. Liberman, Sean J. Coughlin Arbitrator(s): Carol H. Gold Hearing Site: Philadelphia, PA
18-01371	02/12/2019	Claimant(s): Rafael Locken-Testa Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX
17-03289	02/12/2019	Claimant(s): Jessica Russell Claimant Lawyers(s): John E Sutherland Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Ronald L. Cheney, Susan M. Thevenet, Peter L. Murray Hearing Site: Augusta, ME		Expungement
18-01132	02/11/2019	Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX