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FINRA Awards for Karl L. Marquardt

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0218307/24/2019Claimant(s): Josephine Zanoni, Richard Zanoni, The Zanoni Family Trust
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Carole L. Green, David John Reilly, Mitchell Regenbogen
Hearing Site: New York, NY
Checkmark IconExpungement
18-0148201/02/2019Claimant(s): Christopher Mittleman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
17-0115210/04/2018Claimant(s): Joan Gara
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey, Karl L. Marquardt
Arbitrator(s): Langfred W. White, Victoria G.A. Willingham, Brian Michael Kane
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
16-0049312/09/2016Claimant(s): David Kode
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson
Hearing Site: Syracuse, NY
Checkmark IconDismissed by Rule 12206
11-0066412/03/2012Claimant(s): Zelda Gechter
Claimant Lawyers(s): Zelda Gechter
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Ress
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Steven R. Briggs, James L. Karpen, Stephen D Kursman
Hearing Site: Detroit, MI
Checkmark Icon$0
10-0578210/11/2012Claimant(s): Patricia Abbate
Claimant Lawyers(s): Courtland Shafer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Laurie E. Law, James G. Dawson, Todd A. Bloom
Hearing Site: Seattle, WA
Checkmark IconExpungement
11-0122409/12/2012Claimant(s): Penny Lipp Family Trust
Claimant Lawyers(s): Steve Buchwalter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Thomas A. Culbertson, Karen J. Burneff, W. Scott Bowersock
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
11-0114306/28/2012Claimant(s): Bernard Gross, Myra Gross
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Kevin McCulloch, Morgan Stanley
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stephen D. Arkwright, Mayra Adela Rodriguez, Seth H. Barsky
Hearing Site: Detroit, MI
Checkmark IconExpungement
11-0164101/19/2012Claimant(s): Kristopher Mathis, U/W/O Harold J Mathis FBO
Claimant Lawyers(s): Harold J. Mathis
Respondent(s): Citigroup Global Markets., Joseph Calabrese
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): W. Merrill Glasgow
Hearing Site: Houston, TX
Checkmark Icon$0
10-0554812/19/2011Claimant(s): Jack Immel, Valerie Immel, Jack F. Immel, IRA, Valerie R. Immel
Claimant Lawyers(s): David Harrison
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
Checkmark IconExpungement

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