FINRA Awards for John D. Ellis

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Case Number	Award Date	Case Summary	Customer Case?	Amount Granted
16-01227	09/26/2016	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): John D. Ellis Respondent(s): Alina Brindusescu Respondent Lawyers(s): Alina Brindusescu Arbitrator(s): Richard J. Stall Hearing Site: Los Angeles, CA
16-01226	09/13/2016	Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): John D. Ellis Respondent(s): Masami Sakai Respondent Lawyers(s): Masami Ray Sakai Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA