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FINRA Awards for Gerald Kaiser

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Case Number Award Date Case Summary Customer Case? Amount Granted
12-0115802/06/2013Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
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