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FINRA Awards for Marcus Kappel & Co. 401K

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Case Number Award Date Case Summary Customer Case? Amount Granted
08-0421204/09/2010Claimant(s): Janet Marcus, Marcus Kappel & Co. 401K, David Marcus Profit Sharing Plan
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Alvin Green, Denise L. Quarles
Hearing Site: New York, NY
Checkmark Icon$490,610

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