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FINRA Awards for James J. Ashe

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0393911/02/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Ralph Jones
Respondent Lawyers(s): Krista L. Tushar
Arbitrator(s): William F. Skewes, Martin M. Berliner, James J. Ashe
Hearing Site: Denver, CO
10-0080208/02/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): John Birrenkott
Respondent Lawyers(s): John M. Birrenkott
Arbitrator(s): James J. Moylan, Marc H. Schtul, James J. Ashe
Hearing Site: Denver, CO
09-0644607/15/2011Claimant(s): Deborah Vollstedt, Steve Vollstedt, Steve or Deborah Vollstedt Trust
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Katherine M. Harmeyer, James J. Ashe, James W. Warren
Hearing Site: Albuquerque, NM
Checkmark Icon$323,420

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