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FINRA Awards for E*Trade Financial Corporation

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Case Number Award Date Case Summary Customer Case? Amount Granted
07-0214601/27/2009Claimant(s): E*Trade Financial Corporation
Claimant Lawyers(s): Michael P. Elkon
Respondent(s): Grace Financial Group LLC
Respondent Lawyers(s): Patricia A. Christiansen
Arbitrator(s): David D. Cohen, David M. Snyder, Richard A. Rudolph
Hearing Site: Tampa, FL
06-0525503/10/2008Claimant(s): Anthony Guarraci, Gregory Jones
Claimant Lawyers(s): Joseph Alan White
Respondent(s): E*Trade Securities LLC, Stephen Ehrlich, E*Trade Brokerage Holdings, E*Trade Financial Corporation, E*Trade Professional Trading, ETP Holdings., Lightspeed Professional Trading
Respondent Lawyers(s): Robert C. Varnell
Arbitrator(s): Joel Steven Arogeti, Frank W. Virgin, Mary O. Pitts
Hearing Site: Atlanta, GA

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