FINRA Awards for Elliott Zachary Seff

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Displaying 4 out of 4 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
15-02581	04/21/2017	Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Mitchell J. Albert Respondent(s): Esperanza Padilla Gomez, John Carroll Respondent Lawyers(s): Mitchell J. Albert, Sharron Ash Arbitrator(s): Andrew M. Mintzer, Elliott Zachary Seff, Martin J. Kotowski Hearing Site: Los Angeles, CA		Stipulated Award
14-01025	12/15/2014	Claimant(s): Grant Gochin Claimant Lawyers(s): Seth E. Lipner Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush Hearing Site: Los Angeles, CA
12-01501	05/29/2013	Claimant(s): Stan Dreyfuss Claimant Lawyers(s): Leonard Steiner Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher. Respondent Lawyers(s): Linda Claxton Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin Hearing Site: Los Angeles, CA
11-04099	04/13/2012	Claimant(s): Christina Nielson Claimant Lawyers(s): Rebecca E. MacLaren Respondent(s): Charles Bigham Respondent Lawyers(s): Paul W. Thomas Arbitrator(s): Elliott Zachary Seff Hearing Site: Los Angeles, CA		Expungement