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FINRA Awards for Brian J. Sommer

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Displaying 8 out of 8 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0092605/07/2019Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michelle M. Wezner
Respondent(s): Mark Santia
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Pittsburgh, PA
12-0013008/14/2013Claimant(s): Angela Pollice, Philip Pollice
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): David Root, Commonwealth Financial Network, D.B. Root & Company
Respondent Lawyers(s): Jay E. Kagan
Arbitrator(s): Thomas C. Wagner, Christopher Lepore, G. Daniel Carney
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
10-0038004/07/2011Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
09-0633211/11/2010Claimant(s): Glenn Corliss
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Paul H. McKenna, Donald J. Gilbert, Cory Owen Daschbach
Hearing Site: Pittsburgh, PA
Checkmark Icon$56,865
08-0416902/08/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin Walker
Respondent(s): Kenneth Ross, Lloyd Laughlin, Timothy Miller
Respondent Lawyers(s): Brian J. Sommer, Kevin Walker
Arbitrator(s): Kathleen A. Hanula, Harvey Michael Rosenberg, John P. Abriola
Hearing Site: Pittsburgh, PA
08-0067006/03/2009Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin B. Walker
Respondent(s): Peter Thompson
Respondent Lawyers(s): Brian J. Sommer
Arbitrator(s): Karin A. Schlosser, Michael S. Berman, Ronald J. Ricci
Hearing Site: Pittsburgh, PA
07-0294112/05/2008Claimant(s): Basil Marryshow, Basil A. Marryshow, IRA, Profit Sharing Plan
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): John H. Ewing, Michael R. Stabile, Walter J. Blenko
Hearing Site: Pittsburgh, PA
Checkmark Icon$0
07-0258807/11/2008Claimant(s): Katie Guzzo
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Paul H. McKenna, Jared D. Simmer, Kenneth Alan Eisner
Hearing Site: Pittsburgh, PA

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