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FINRA Awards for Elena G. Rodriguez

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Displaying 10 out of 34 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0365806/13/2022Claimant(s): Phyllis Raucher, Phyllis Raucher IRA, Raucher Family Trust
Claimant Lawyers(s): Robert Cornish
Respondent(s): Michael Ecker
Respondent Lawyers(s): Stephany D. McLaughlin
Arbitrator(s): Elena G. Rodriguez, Mary C. Walsh, Timothy Wildman
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
17-0341211/07/2019Claimant(s): Lawrence Freedman, Mary Freedman
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Amy S. Rubin
Arbitrator(s): Elena G. Rodriguez, Peter A. Roche, Gary Mathew Singer
Hearing Site: Boca Raton, FL
Checkmark Icon$0
17-0088706/24/2019Claimant(s): Paul Schneider
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Elena G. Rodriguez, Will Murphy, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
Checkmark Icon$94,000
18-0386706/07/2019Claimant(s): Beverly Assmar, Richard Assmar, Beverly Assmar Selectrust U/A 12/18/2012, Richard Assmar Selectrust U/A 12/18/2012
Claimant Lawyers(s): Mark S. Simms
Respondent(s): Comerica Securities.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Elena G. Rodriguez, Christopher J. Klein, Peter A. Roche
Hearing Site: Miami, FL
Checkmark IconDismissed by Rule 12206/12504
17-0152505/14/2018Claimant(s): Elma McKenzie, Elma D. McKenzie IRA
Claimant Lawyers(s): Russell L. Forkey
Respondent(s): Karl Foust, HD Vest Advisory Services., HD Vest Investment Services
Respondent Lawyers(s): Eric J. Dec, Neil S. Baritz
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0293303/29/2018Claimant(s): Nicolette Billings, Estate of Rosemary Seheult
Claimant Lawyers(s): Gregory A. Friedman
Respondent(s): David Gray, Morgan Stanley, Citigroup Global Markets., Gregg Stupinski
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Steven Gerard Goerke, Elena G. Rodriguez, Barry David Thorpe
Hearing Site: Miami, FL
Checkmark Icon$0
17-0086703/14/2018Claimant(s): Dirk Rabenold
Claimant Lawyers(s): Joshua F. Bautz
Respondent(s): Kerry Montgomery, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Robert Rex
Arbitrator(s): Robert A. Sauerberg, Elena G. Rodriguez, Richard W. Epstein
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
16-0142012/01/2017Claimant(s): Donald DeBock
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Elena G. Rodriguez, Kenneth H. Koch, Mark A Bilawsky
Hearing Site: Boca Raton, FL
Checkmark IconExpungement
16-0234601/18/2017Claimant(s): Verna Munden
Claimant Lawyers(s): Robert J. Slotkin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Patricia E. Cowart
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Checkmark IconDismissed by Rule 12504
13-0347008/01/2016Claimant(s): Luis Marquez, L.A. Marquez.
Claimant Lawyers(s): Francisco Pujol, Harold Vicente Colon
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR.
Respondent Lawyers(s): Brian F. Amery, Laura T. Ruiz-Rivera
Arbitrator(s): Gerald Silverman, Elena G. Rodriguez, Christopher J. Klein
Hearing Site: Miami, FL
Checkmark Icon$500,000

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