FINRA Awards for Ellyn S. Roth

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Displaying 31-36 out of 36 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
13-00823	06/06/2014	Claimant(s): Michael Rose Claimant Lawyers(s): Bryan I. Reyhani Respondent(s): Dominick & Dominick LLC Respondent Lawyers(s): Logan S. Fisher Arbitrator(s): Herbert N. Fishman, Philip Rachmelowitz, Ellyn S. Roth Hearing Site: New York, NY
10-05354	12/15/2011	Claimant(s): Michael Subrizi Claimant Lawyers(s): Michael Subrizi Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Alun W. Griffiths Arbitrator(s): Elizabeth Gilbert, Ellyn S. Roth, Alan Gradzki Hearing Site: New York, NY
10-02602	12/02/2011	Claimant(s): A.K. Capital Claimant Lawyers(s): Matthew E. Lipman Respondent(s): Thomas McHugh, The Princeridge Group LLC, Triton Funding Partners Respondent Lawyers(s): Daniel Cevallos, Victor C. Bushell Arbitrator(s): Randolph Guggenheimer, Ellyn S. Roth, Robert Bartels Hearing Site: New York, NY
10-05192	11/04/2011	Claimant(s): CIBC World Markets Corp. Claimant Lawyers(s): Lloyd S. Clareman Respondent(s): Stanley Stern Respondent Lawyers(s): Eugene L. Small Arbitrator(s): Ellyn S. Roth, Terrance J. Nolan, John Clark Van Steen Hearing Site: New York, NY
10-03444	07/28/2011	Claimant(s): John Wilson Claimant Lawyers(s): Paul T. Shoemaker Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Robert N. Holtzman Arbitrator(s): Alida D. Camp, Sherri L. Hughes, Ellyn S. Roth Hearing Site: New York, NY
08-04980	10/06/2010	Claimant(s): Timothy Stevens Claimant Lawyers(s): David I. Greenberger Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Theodore Snyder Arbitrator(s): George Sommerfeld, Alex Cohen, Ellyn S. Roth Hearing Site: New York, NY