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FINRA Awards for Michael Mui

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0011406/14/2017Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): V. Justin Arpey
Respondent(s): Marc Karetsky
Respondent Lawyers(s): Michael Mui
Arbitrator(s): David I. Goldblatt, Lisa Lograno, Phil-Elleana Maria Ficklin
Hearing Site: New York, NY
15-0334604/17/2017Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): John Fisher
Respondent Lawyers(s): Michael Mui
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
11-0467902/12/2013Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): James Pryor
Respondent Lawyers(s): Michael Mui
Arbitrator(s): Martin Hunger, Alfred H. Kingon, Paul C. Tang
Hearing Site: New York, NY

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