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FINRA Awards for Thomas Sargant

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Case Number Award Date Case Summary Customer Case? Amount Granted
11-0070410/10/2012Claimant(s): The Estate of Barbara Micek
Claimant Lawyers(s): Thomas P. Yardley
Respondent(s): UBS Financial Services Inc., The Estate of James R. Kirchner, Sr.
Respondent Lawyers(s): Stefanie M. Wayco, Tim Rabel
Arbitrator(s): Thomas Sargant, John D. Crawford, Marilee Roberg
Hearing Site: Chicago, IL
Checkmark Icon$0
07-0344503/02/2009Claimant(s): Ralph Diaz
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Thomas Sargant, Theodore L. Leeb, Mitchell Lee Marinello
Hearing Site: Chicago, IL

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