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FINRA Awards for John Carolyn

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0154505/13/2019Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Maria Paz Chacon
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
18-0154309/24/2018Claimant(s): John Carolyn
Claimant Lawyers(s): Alise Johnson Henry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Sherry R. Wetsch
Hearing Site: Houston, TX

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