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FINRA Awards for Harry Edward Resis

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0093403/08/2016Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
11-0395111/28/2012Claimant(s): Steven Schneiderman
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Burton Street, RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield
Hearing Site: Chicago, IL

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