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FINRA Awards for Elliott David Finkel

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Displaying 11-20 out of 27 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0329707/23/2019Claimant(s): Nathaniel Barnhart
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Elliott Finkel
Hearing Site: Phoenix, AZ
18-0071903/22/2019Claimant(s): Peter Cunningham
Claimant Lawyers(s): Michelle Atlas
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
18-0349303/15/2019Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Sait Saraci
Respondent Lawyers(s): Sait Alex Saraci
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
18-0211003/06/2019Claimant(s): Duncan Rolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): City National Securities.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Elliott D. Finkel
Hearing Site: Los Angeles, CA
17-0282001/22/2019Claimant(s): Jon Erickson
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Elliott D. Finkel, Mark S. Priver, William Ogburn Huggins
Hearing Site: Las Vegas, NV
16-0119212/04/2018Claimant(s): Stella Bi
Claimant Lawyers(s): Mia Munro
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew Klafter
Arbitrator(s): Alan Stamm, Elliott D. Finkel, Cherie S. Lewis
Hearing Site: Los Angeles, CA
16-0080206/01/2018Claimant(s): Joel Kettler
Claimant Lawyers(s): Robert J. Girard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Elliott D. Finkel, Jeanne E. Irving, Jack R. Goetz
Hearing Site: Los Angeles, CA
16-0340704/23/2018Claimant(s): Thomas Calder
Claimant Lawyers(s): Thomas B. Calder
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty
Hearing Site: Los Angeles, CA
17-0264203/19/2018Claimant(s): Glen Titan, Royce Bergman
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
15-0268403/30/2017Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA

27 Results

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