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FINRA Awards for James Healey

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Case Number Award Date Case Summary Customer Case? Amount Granted
15-0070903/29/2017Claimant(s): Luis Cummings-Carrero, Caribbean Anesthesia Society
Claimant Lawyers(s): Eric Quetglas-Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Jaime E. Toro- Monserrate, Lawrence E. Fenster
Arbitrator(s): Richard E. Lauziere, James Sean Healey, Robert Lawrence Ostrov
Hearing Site: San Juan, PR
Checkmark Icon$4,423,180
14-0043102/27/2015Claimant(s): T. S. Del Rosario & S. S. Ramos, Ten Com
Claimant Lawyers(s): Normarie Rodriguez Perez
Respondent(s): Oriental Financial Services Corp.
Respondent Lawyers(s): Pedro Hernandez-Freire
Arbitrator(s): Steven N. Ainbinder, James Sean Healey, Robert G. Bannon
Hearing Site: San Juan, PR
Checkmark Icon$0
12-0330709/16/2014Claimant(s): Mounang Desai, U&M Desai Ltd.
Claimant Lawyers(s): Glenn R. LeMay
Respondent(s): Eric Foster, Michael Morris, Halcyon Cabot Partners, Ltd.
Respondent Lawyers(s): Eric Foster, Maranda E. Fritz
Arbitrator(s): James Sean Healey, John K. Boyce, Michael S. Wilk
Hearing Site: Houston, TX
Checkmark Icon$264,450
12-0416204/03/2014Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James D. Knotter, James Sean Healey, Robert H. Ottesen
Hearing Site: Albuquerque, NM
09-0591106/17/2010Claimant(s): Robert D. Willcutt, Robert D. Willcutt and Nancy J. Willcutt
Claimant Lawyers(s): Nancy J. Willcutt
Respondent(s): James Healey, UBS Financial Services Inc., Richard Crews
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
Checkmark Icon$213

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