FINRA Awards for Heather B. Middleton

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
21-01764	07/27/2023	Claimant(s): Michael Ohlemacher Claimant Lawyers(s): Heather B. Middleton Respondent(s): W&S Brokerage Services., Western and Southern Life Ins Company Respondent Lawyers(s): Matthew C. Blickensderfer Arbitrator(s): Sandra Franklin, Dandridge Floyd, David Robert Murray Hearing Site: Detroit, MI
22-01560	02/14/2023	Claimant(s): David Hirsch Claimant Lawyers(s): Heather B. Middleton Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): James J. Stamos Hearing Site: Chicago, IL
20-02321	01/20/2021	Claimant(s): ChoiceTrade Claimant Lawyers(s): Neville Golvala Respondent(s): Precision Securities Respondent Lawyers(s): Heather B. Middleton Arbitrator(s): Joel Levinson, John B. Myers, Joan Ellen Hoffman Hearing Site: New York, NY
18-03581	08/05/2019	Claimant(s): Morgan Stanley, Joseph Goscienski Claimant Lawyers(s): Heather B. Middleton Respondent(s): Kamel Kazan Respondent Lawyers(s): Kamel Kazan Arbitrator(s): Fred S. Pieroni, Robert E. Anderson, Carl Mario Martorano Hearing Site: Newark, NJ		Expungement