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FINRA Awards for Michael Winn

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0046710/16/2019Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elyse W. Whitehead
Arbitrator(s): Robert D. Sussin, Christine A. Page, Richard M. Norman
Hearing Site: Los Angeles, CA
16-0194612/06/2017Claimant(s): Jerald Halverson, Michael Winn
Claimant Lawyers(s): Jeffrey K. Riffer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Samantha W. Mahoney
Arbitrator(s): Robert E. Jenks, Pamela Jane Koslow, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA

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