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FINRA Awards for Sumant Rawat

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0268703/24/2015Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Donald N. Tolin, Baldwin Ranson
Hearing Site: Denver, CO
Checkmark IconExpungement

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