FINRA Awards for Elaine M. Rice

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Displaying 11-15 out of 15 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-02534	03/11/2014	Claimant(s): William Spalding Claimant Lawyers(s): Stephen E. Hudson Respondent(s): Securities America. Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford Hearing Site: Atlanta, GA
12-02969	05/22/2013	Claimant(s): Alan Yanowitz, Bryan Stoltenberg, Eric Whitehead, Joshua Gregory, Steven Hyman, Timothy Lata Claimant Lawyers(s): Sarah E. Scott Respondent(s): Securities America. Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Frank D. Connett Hearing Site: Omaha, NE
12-03509	05/03/2013	Claimant(s): James Nagengast, Kevin Miller Claimant Lawyers(s): Elaine M. Rice Respondent(s): Securities America. Respondent Lawyers(s): Bryan M. Ward Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss Hearing Site: Omaha, NE
12-01305	02/07/2013	Claimant(s): Brett Wilson, Brian Smoot, Clifford Cashman, Darrin Santos, David Gatlin, Dean Evans, Ernest Hathaway, Gary Barker, Greg Coenen, Howard Jeppson, John Plaza, Kevin Korhorn, Lisa Dickholtz, Marty Mitchell, Michael Clark, Michele Young, Robert Greenamyer, Scotty Schoettlin, Stephen Fortner, Steven Fenyves, et al Claimant Lawyers(s): Bryan M. Ward Respondent(s): Securities America. Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Frank D. Connett Hearing Site: Omaha, NE
12-01156	01/23/2013	Claimant(s): William Glubiak Claimant Lawyers(s): Sara E. Scott Respondent(s): Securities America. Respondent Lawyers(s): Elaine M. Rice Arbitrator(s): Kathleen Maher Zouhary Hearing Site: Cleveland, OH