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FINRA Awards for Andrew T. Mount

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0107810/28/2019Claimant(s): John Micera
Claimant Lawyers(s): Andrew T. Mount
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Morton S. Bunis
Hearing Site: Newark, NJ
15-0009311/04/2015Claimant(s): Michael Kleinfelder
Claimant Lawyers(s): William K. Flynn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Andrew T. Mount
Arbitrator(s): Thomas B. Corey
Hearing Site: Cincinnati, OH

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