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FINRA Awards for Gerald Guttman

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Case Number Award Date Case Summary Customer Case? Amount Granted
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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