Potomac Analytics' Logo

FINRA Awards for Dan A. Rosenbaum

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Filter by:

Sort by:

Displaying 10 out of 21 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0310504/10/2015Claimant(s): Joel Rogovin
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
14-0122212/29/2014Claimant(s): Scott Notowitz
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Robert A. Sauerberg, Walter John Chesney, Theodore Israel Herold
Hearing Site: Boca Raton, FL
14-0173110/01/2014Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
13-0223705/14/2014Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
13-0014508/22/2013Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
12-0384708/21/2013Claimant(s): Paul Lin
Claimant Lawyers(s): Paul Lin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Frederick N. Bailard
Hearing Site: Los Angeles, CA
Checkmark Icon$2,105
12-0363305/03/2013Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
12-0361304/11/2013Claimant(s): Linda Russell, The Estate of Richard L. Russell
Claimant Lawyers(s): Wendell V. Courtney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Baltimore, MD
Checkmark IconStipulated Award
12-0274003/04/2013Claimant(s): Joe McGlone
Claimant Lawyers(s): Joe McGlone
Respondent(s): Keith Brown, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
Checkmark Icon$213
12-0269901/14/2013Claimant(s): Douglas Bott
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA

21 Results

Display: