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FINRA Awards for Phillip I. Finkelstein

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0206608/01/2022Claimant(s): Abdul Mohammed
Claimant Lawyers(s): Abdul Mohammed
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): Ray J. Grzebielski, Steven H. Vogel, Phillip I. Finkelstein
Hearing Site: Chicago, IL
Checkmark Icon$0
14-0287301/11/2016Claimant(s): Arts and Humanities Foundation
Claimant Lawyers(s): John A. Umhoefer
Respondent(s): Daniel Steffes, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter N. Thompson, Phillip I. Finkelstein, Michael A. DePompolo
Hearing Site: Minneapolis, MN
Checkmark Icon$0
09-0612507/07/2010Claimant(s): Ann Lorenz
Claimant Lawyers(s): Ann Marie (Staci) Lorenz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel Derechin
Arbitrator(s): Phillip I. Finkelstein
Hearing Site: Minneapolis, MN
Checkmark Icon$213

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