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FINRA Awards for Subvet West

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0283102/02/2023Claimant(s): Lawrence Denisoff
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccaraato
Arbitrator(s): Lawrence R. Maxwell, Subvet West, Diego Jesus Pena
Hearing Site: Dallas, TX
Checkmark IconExpungement
21-0002805/11/2022Claimant(s): Ian Delahunty
Claimant Lawyers(s): Michael S. Hill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Karen Roberts Washington, Will Pryor, Subvet West
Hearing Site: Dallas, TX
Checkmark Icon$365,425
18-0179202/08/2019Claimant(s): Sylvia Riley
Claimant Lawyers(s): David C. Garrett
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle Simms
Arbitrator(s): Jan Glenn Valecka, David A. Schuler, Subvet West
Hearing Site: Dallas, TX
Checkmark IconExpungement

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