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FINRA Awards for Alan R. Sloate

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Case Number Award Date Case Summary Customer Case? Amount Granted
03-0909901/28/2008Claimant(s): Barbara King, The Barbara King Family Trust
Claimant Lawyers(s): Brian Maas
Respondent(s): David Kotowski, David Savetz, UBS Financial Services Inc.
Respondent Lawyers(s): David C. Franceski, David Katowski
Arbitrator(s): Constantine N. Katsoris, John B. Morgan, Alan R. Sloate
Hearing Site: New York, NY
Checkmark Icon$1,750,000
06-0049211/19/2007Claimant(s): Austin, Hatch & Smith
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Elizabeth Jones, Susan Simon
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Marilyn J. Salzman, Alan R. Sloate, Sheila D. Collins
Hearing Site: New York, NY

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