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FINRA Awards for Frederick H. Bruce

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Displaying 9 out of 9 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0301603/24/2016Claimant(s): Carlos L. Merced, Obdulio Melendez Ramos, Ramon Velez Garcia
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Frederick H. Bruce, Edward Arthur Horton, Joseph Neal Richardson
Hearing Site: San Juan, PR
Checkmark Icon$470,804
14-0328105/26/2015Claimant(s): Theodore Longo
Claimant Lawyers(s): W. Preston Martin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jill M. Del Monico
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
13-0236711/11/2014Claimant(s): Robert Bee
Claimant Lawyers(s): Lance C McCardle
Respondent(s): Brian Lawrence, UBS Financial Services Inc.
Respondent Lawyers(s): George C. Freeman, Rebecca E. Swenson
Arbitrator(s): Frederick H. Bruce, Jeff Kilgore, Francis Frank Fontenot
Hearing Site: New Orleans, LA
Checkmark IconExpungement
14-0006609/24/2014Claimant(s): Bruce Brookshire
Claimant Lawyers(s): Bruce C. Brookshire
Respondent(s): Pershing LLC, Peter Iapoce, Stephen Kaminski
Respondent Lawyers(s): Jane L. Myers
Arbitrator(s): Frederick H. Bruce
Hearing Site: Jackson, MS
Checkmark Icon$88
12-0113009/05/2012Claimant(s): Suzanne Smith, Stanford A. Smith, Jr.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
Checkmark Icon$213
10-0114112/13/2011Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Daniel Hudson
Respondent Lawyers(s): Bruce V Schewe
Arbitrator(s): Frederick H. Bruce, Lynne R. Stern, Kathryn M. Welsh
Hearing Site: New Orleans, LA
10-0235110/13/2011Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Frederick H. Bruce, Leon T. Roberts, Jeffrey Ackermann
Hearing Site: New Orleans, LA
Checkmark Icon$0
09-0623405/26/2011Claimant(s): Peoples State Bank
Claimant Lawyers(s): Stephen L. Miles
Respondent(s): Michael Park, FTN Financial Securities Corp, FTN Financial Capital Markets
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): William B. Miller, Frederick H. Bruce, Lynne R. Stern
Hearing Site: New Orleans, LA
Checkmark Icon$0
08-0266910/30/2009Claimant(s): Florence Campbell Butts
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Jeffrey P. Hinebaugh
Arbitrator(s): Frederick H. Bruce, Dale A. Kaliszeski, B. David Jarashow
Hearing Site: New Orleans, LA
Checkmark Icon$68,500

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