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FINRA Awards for Michael F Braun

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0039105/18/2022Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Bruce Smith
Respondent Lawyers(s): Ashley C. Brown
Arbitrator(s): George Pinckney Shingler, Judith Cochrane Loomis, Shaquana Ellison
Hearing Site: Atlanta, GA
18-0262203/27/2020Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Anthony Steffan, Pete Henderson
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Martin M. Berliner, Paul E. Dahlman, John H. Fearnow
Hearing Site: Albuquerque, NM
11-0076307/09/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Paul Beninati
Respondent Lawyers(s): Max P. Minnig
Arbitrator(s): Baldwin Ranson, Bernard A. Clark, Hunter Joseph von Unschuld
Hearing Site: Denver, CO

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