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FINRA Awards for Scott Rose

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0038910/06/2023Claimant(s): Scott Rose
Claimant Lawyers(s): William Bean
Respondent(s): Citigroup Global Markets., J.P. Morgan Securities
Respondent Lawyers(s): Adam Kauff, Thomas J. Cahill
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: New York, NY
08-0122407/29/2009Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
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