FINRA Awards for Kathryn D. Perreault

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Displaying 51-55 out of 55 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-03205	08/02/2016	Claimant(s): Todd Kissel Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc., Morgan Stanley Respondent Lawyers(s): Alejandro Schwed, Kathryn D. Perreault Arbitrator(s): Howard J. Stiefel, Dolores D. Balsamo, Kenneth Paul Price Hearing Site: New York, NY
15-02423	05/03/2016	Claimant(s): Brad Kalas Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen Hearing Site: Los Angeles, CA
14-03706	11/10/2015	Claimant(s): Patrick Van Roten Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Robert E. Anderson, Jeffrey Charles Rooney, Zung T. Nguyen Hearing Site: New York, NY
12-00443	04/23/2014	Claimant(s): Janice Rohan, Philip Hulse Claimant Lawyers(s): Scott J. Link Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Anthony J. Soukenik, Albert J. Haller, Jack D. Olson Hearing Site: St. Louis, MO		Expungement
11-00472	11/27/2013	Claimant(s): Karl Steffes, Susan Steffes, Karl Steffes IRA Rollover Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Philip I. McConnell, Charles S. Chester, Brian James Tagtmeier Hearing Site: Houston, TX		Expungement