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FINRA Awards for David Simon

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0230311/30/2023Claimant(s): Whelan Advisory Capital Markets, Whelan Advisory
Claimant Lawyers(s): Roger E. Barton
Respondent(s): HomeSource Operations
Respondent Lawyers(s): Brian J. Capitummino
Arbitrator(s): Robert Neal Hunter, David F. Simon, John Gorman
Hearing Site: New York, NY
11-0466007/03/2013Claimant(s): Anise Schneiderman, Lenore Tepper, Montana Queler
Claimant Lawyers(s): Carl F. Schoeppl
Respondent(s): David Simon, UBS Financial Services Inc.
Respondent Lawyers(s): Daniel S. Newman, Rebecca E. Swenson
Arbitrator(s): Linda M. Granata, Marie G. Peterson, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
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