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FINRA Awards for Kenneth W. DiGia

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0372908/13/2013Claimant(s): Thomas Heller
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): B. J. Krintzman, Pamela E. Berman, John J. Kenny
Hearing Site: Boston, MA
08-0379005/10/2011Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY

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