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FINRA Awards for Thomas Allan Dubbs

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0372208/03/2020Claimant(s): Kenneth Margolis, Richard Luftig, Castle Placement Group, Castle Placement
Claimant Lawyers(s): James Halter
Respondent(s): Citadel Servicing Corporation
Respondent Lawyers(s): Chetna Vora
Arbitrator(s): Thomas Allan Dubbs, Peter A. Goldman, Ronald Harris Kisner
Hearing Site: New York, NY
16-0336103/15/2019Claimant(s): Jamarr Delauney
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Thomas Allan Dubbs, John D. Nagy, Serge Krimnus
Hearing Site: New York, NY

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