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FINRA Awards for Romel Rodriguez

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0026407/07/2015Claimant(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Claimant Lawyers(s): Jacob W. Buchdahl
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Howard D. Jacob, Irwin Pronin, Roger B. Jacobs
Hearing Site: New York, NY
11-0112606/12/2012Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D Weinreich
Respondent(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Respondent Lawyers(s): Margaret E. Peper
Arbitrator(s): Barbara J. Glenns, Romaine L. Gardner, Lynne M. Reid-McQueen
Hearing Site: New York, NY

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