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FINRA Awards for UMB Financial Services.

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0338804/19/2021Claimant(s): Daria Haidukova
Claimant Lawyers(s): Daria Haidukova
Respondent(s): Fidelity Brokerage Services LLC, Fidelity Investments Institutional Srvcs, UMB Financial Services.
Respondent Lawyers(s): Eric D. Martin, Patrick S. Christensen
Arbitrator(s): Joyce L. Hurley, Richard William DeWeese, Kendall C. Reed
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12212
20-0335004/09/2021Claimant(s): Iouri Bobrov
Claimant Lawyers(s): Iouri Bobrov
Respondent(s): Fidelity Brokerage Services LLC, UMB Financial Services.
Respondent Lawyers(s): Eric. D. Martin, Noah D. Sorkin
Arbitrator(s): Kendall C. Reed, Andrea Luise Halperin, David Harvey Failer
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12212
14-0037902/27/2015Claimant(s): Peter Stekr
Claimant Lawyers(s): Peter Morris Stekr
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Wendy S. Menghini
Arbitrator(s): Jack D. Elmquist, Frank D. Connett, John P. Wright
Hearing Site: Omaha, NE
09-0327102/12/2010Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
Checkmark Icon$0

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