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FINRA Awards for Francisco Diaz

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Case Number Award Date Case Summary Customer Case? Amount Granted
14-0322711/05/2015Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Kenneth Ray Noble
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
10-0189410/20/2010Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco Alberto Diaz
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Miami, FL
08-0104011/12/2008Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Gregory R. Crochet
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco A. Diaz
Arbitrator(s): G. Robert Abrams
Hearing Site: Miami, FL

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