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FINRA Awards for Kenneth Haben

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0049004/20/2020Claimant(s): Rachel Niemuth
Claimant Lawyers(s): Laura Hallmon
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Dineo Coleman Gary, Dianne Connally Betts, Kenneth Haben
Hearing Site: Dallas, TX
17-0263204/12/2019Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Roxanne Fixsen
Respondent(s): Hanh Williams
Respondent Lawyers(s): Hanh Thai Williams
Arbitrator(s): C. Sumpter Logan, Robert E. Witt, Kenneth Haben
Hearing Site: Dallas, TX

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