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FINRA Awards for Lloyd William Graham

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0248104/11/2011Claimant(s): Patricia Plesh
Claimant Lawyers(s): Patricia J. Plesh
Respondent(s): Citigroup Global Markets., Jay Oldham, Royal Alliance Associates., Lawrence Ruderman, Lloyd Graham, Philip King, Crowell, Weedon & Co., King Financial Services.
Respondent Lawyers(s): Barry M. Vrevich, Bernard B. Kornmehl, Elizabeth Lowery, Lloyd William Graham
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
10-0095607/07/2010Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lloyd Graham
Respondent Lawyers(s): Lloyd William Graham
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA

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