23-01310 Kelly Goldsmith v. UBS Financial Services Inc.
FINRA Dispute Resolution Services · Securities (FINRA) · United States · September 22, 2023
Why it matters
Kelly Goldsmith v. UBS Financial Services Inc., decided in FINRA arbitration. In this case a customer or associated person brought a claim against UBS Financial Services Inc.. For a student, it shows how FINRA arbitration works: the binding, largely private forum where the great majority of US securities disputes are resolved instead of the courts, with awards enforceable in court and open to challenge only on narrow grounds.
Summary
Kelly Goldsmith v. UBS Financial Services Inc.: a FINRA arbitration award (case 23-01310), 05/07/2026. The panel's decision is set out in the award.
The detail
Parties: Kelly Goldsmith v. UBS Financial Services Inc.
Case number: FINRA Case No. 23-01310
Outcome: Award for the claimant of $1,179,169.00.
Quantum: $1,179,169.00
Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.
Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.
Read the full decision at FINRA Arbitration Awards Online ↗
Locus Standi links to the source decision and publishes its own plain-language summary. It does not reproduce the text of the award.