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FINRA Awards for Lawrence E. Dube

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0058407/08/2022Claimant(s): Joann Rosellini, Estate of Alexander V. Rosellini
Claimant Lawyers(s): Thomas Costello
Respondent(s): National Securities Corporation, John Moy
Respondent Lawyers(s): Fred N. Knopf, Jennifer R. Willey
Arbitrator(s): Lawrence E. Dube, Josephia Rouse, Elizabeth Varner
Hearing Site: Baltimore, MD
Checkmark IconExpungement
20-0178708/23/2021Claimant(s): Allison Walk, Stephen Walk
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Lawrence E. Dube, Peter H. Goldberg, Anitra Oluonye
Hearing Site: Baltimore, MD
Checkmark Icon$405,000

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