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FINRA Awards for Mark Graham

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Case Number Award Date Case Summary Customer Case? Amount Granted
17-0055009/29/2017Claimant(s): Mark Graham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Craig Charles Beles
Hearing Site: Seattle, WA
10-0095211/16/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Mark Graham
Respondent Lawyers(s): Robert J. Girard, II
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, William R. Hickman
Hearing Site: Seattle, WA
09-0394107/15/2010Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mark Graham
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Benjamin E. Fisher, Ruth C. Adrian, Ian S. Greig
Hearing Site: Tampa, FL

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