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FINRA Awards for UBS Credit Corp.

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Displaying 31-39 out of 39 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0203611/29/2017Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
16-0194809/20/2017Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Carlos Rodriguez
Respondent Lawyers(s): Carlos A. Rodriguez
Arbitrator(s): Edward J. Lynch
Hearing Site: Dallas, TX
16-0295201/09/2017Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Lawyers(s): Roger Ericson Bell
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
16-0236512/23/2016Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Timothy Fannin
Respondent Lawyers(s): Timothy Fannin
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
15-0257912/06/2016Claimant(s): Michael Zirpolo, Thomas Fayad
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): UBS Financial Services Inc., UBS Credit Corp.
Respondent Lawyers(s): James L. Komie
Arbitrator(s): Martin A. Edelstein, Raymond A. Urci, Steven C. Kasarda
Hearing Site: New York, NY
16-0128110/06/2016Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Robert Kuhn
Respondent Lawyers(s): Robert M. Kuhn
Arbitrator(s):
Hearing Site: Dallas, TX
16-0122409/06/2016Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): Robert Hirsch
Respondent Lawyers(s): Robert M Hirsch
Arbitrator(s): Gloria O. North
Hearing Site: Boca Raton, FL
14-0377003/30/2016Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): David Lavine
Respondent Lawyers(s): Andrew R. Harvin
Arbitrator(s): James A. Parker, Ann Bradford Ligums, G. Dennis Sheehan
Hearing Site: Houston, TX
15-0058210/06/2015Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Megan Smith
Respondent(s): David Nell
Respondent Lawyers(s): David Nell
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX

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