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FINRA Awards for Mark Moore

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0143305/23/2019Claimant(s): Mark Moore
Claimant Lawyers(s): Coren H. Stern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
09-0451406/10/2010Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
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