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FINRA Awards for Mark Appleton

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0185411/23/2021Claimant(s): Timothy Greer
Claimant Lawyers(s): Mark Appleton
Respondent(s): Carol Chairito
Respondent Lawyers(s): Joshua Kons
Arbitrator(s): Leonard M. Goldstein, Julie Judith Lurman Joly, Albert Lee Birdsell
Hearing Site: Denver, CO
Checkmark Icon$0
16-0237701/23/2017Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
Checkmark Icon$300

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