FINRA Cases


Serving (and served) as Arbitrator for the following Financial Industry Regulatory Authority, Inc. (FINRA) Arbitrations:

  • Del Olmo, et al. vs. UBS, et al. Case No. 14-01092
  • Monroig, et al. vs. UBS, et al. Case No. 14-00655
  • Payne, et al. vs. Money Concepts, et al. Case No. 13-03425
  • Lefief vs. Oppenheimer, et al. Case No. 13-02713
  • Grathwohl, et al. vs. Citigroup, et al. Case No. 12-00723
  • Levitt, et al. vs. Securities America Case No. 10-01356
  • Royal, et al. vs. Morgan Keegan Case No. 08-02951