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FINRA Awards for Anne Q. Uno

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0024903/04/2016Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
09-0217511/02/2010Claimant(s): Paula Eisenstein
Claimant Lawyers(s): John P. Connolly
Respondent(s): Eric Meyers, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Anne Q. Uno, Stanley A. Cook, Douglas Earl McLaren
Hearing Site: Washington, DC
Checkmark Icon$269,283
08-0287107/17/2009Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Louis Nebel, Anne Q. Uno, Baunita M. Greer
Hearing Site: Washington, DC
07-0031703/20/2008Claimant(s): John Erickson
Claimant Lawyers(s): John F. Erickson
Respondent(s): Robert Tucker
Respondent Lawyers(s): Robert Tucker
Arbitrator(s): Anne Q. Uno, Bruce Sanders, Arthur J. Wilson
Hearing Site: Washington, DC
Checkmark Icon$0
07-0040901/29/2008Claimant(s): Ferdinand Tranfo, Letizia Tranfo
Claimant Lawyers(s): Arthur M. Schwartzstein
Respondent(s): Jeffrey Shuster, Westrock Advisors.
Respondent Lawyers(s): Robert Giacovas
Arbitrator(s): John H. Baffa, Gloria Asher, Anne Q. Uno
Hearing Site: Washington, DC
Checkmark Icon$0

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