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FINRA Awards for David Kode

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Case Number Award Date Case Summary Customer Case? Amount Granted
16-0049312/09/2016Claimant(s): David Kode
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson
Hearing Site: Syracuse, NY
Checkmark IconDismissed by Rule 12206

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