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FINRA Awards for Dorothy E. Morris

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0173908/12/2011Claimant(s): Agnes Kane, James Kane
Claimant Lawyers(s): Raymond S. Carroll
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard S. Peskin, Dorothy E. Morris, Jay Alan Kranis
Hearing Site: New York, NY
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09-0256802/09/2010Claimant(s): Jatin Suryawanshi, Partha Sarkar, Sanjay Girdhar
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): UBS Securities LLC, UBS AG
Respondent Lawyers(s): Claire L. Huene
Arbitrator(s): Vicki Z. Holleman, Dorothy E. Morris, Gerald Guttman
Hearing Site: New York, NY

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