FINRA Awards for Elliot B. Platt

Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:

Displaying 5 out of 5 results

Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
18-01448	08/11/2021	Claimant(s): Patrick Mullen Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): Key Investment Services LLC Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel Hearing Site: Philadelphia, PA
20-00581	05/29/2020	Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Tracey Salmon-Smith Respondent(s): Nelson Polun Respondent Lawyers(s): Nelson M. Polun Arbitrator(s): Elliot B. Platt Hearing Site: Baltimore, MD
16-01185	11/07/2018	Claimant(s): John Battista Claimant Lawyers(s): Christopher B Jones Respondent(s): David Capin Respondent Lawyers(s): Andrew J. Shapren Arbitrator(s): Philip S. Cottone, Elliot B. Platt, Dolores E Trojak Hearing Site: Philadelphia, PA
17-00575	10/23/2017	Claimant(s): Gregory Hayes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn Perreault Arbitrator(s): Elliot B. Platt Hearing Site: Philadelphia, PA
08-04609	03/23/2010	Claimant(s): Jan Carr Claimant Lawyers(s): Anthony B. Haller Respondent(s): Uvest Financial Services Group. Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer Hearing Site: Philadelphia, PA