| 15-01548 | 03/31/2016 | Claimant(s): Gary Cremo
Claimant Lawyers(s): Christine A. Page
Respondent(s): Oppenheimer & Co.., Raymond James Financial Services.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Dana L. Bigman
Hearing Site: Los Angeles, CA
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| 14-03868 | 12/14/2015 | Claimant(s): Kenneth Van Wagenen
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen Young
Arbitrator(s): George H. Casey, Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 13-02751 | 10/21/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Travis Shannon
Respondent Lawyers(s): Travis Sherwood Shannon
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 14-00832 | 02/27/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric R. Raphan
Respondent(s): Robert Chan
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Theresa Y. Hu, Richard A. Stephens
Hearing Site: Los Angeles, CA
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| 11-04118 | 08/01/2014 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Peter R. Boutin
Respondent(s): Just Mortgage., RMK Financial Corp. d/b/a Majestic Home
Respondent Lawyers(s): Stephen Cho
Arbitrator(s): Elliott David Finkel, Madeleine Kleinman, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 11-02922 | 04/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 13-01338 | 01/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Scott Trueman
Respondent Lawyers(s): Scott Anthony Trueman
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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