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FINRA Awards for Elliott Zachary Seff

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Displaying 10 out of 17 results
Case Number Award Date Case Summary Customer Case? Amount Granted
14-0271107/25/2017Claimant(s): ABS Manager
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott Zachary Seff, Karen A. Lockwood, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0002705/19/2017Claimant(s): Robert Dale, Robert Dale IRA
Claimant Lawyers(s): David Liebrader
Respondent(s): Daniel Levin, Scott Schroeder
Respondent Lawyers(s): Daniel Edward Levin, Scott Donovan Schroeder
Arbitrator(s): Elliott Zachary Seff, Brent J. Rosenbaum, Steven H. Gentry
Hearing Site: Los Angeles, CA
Checkmark Icon$23,848
14-0322005/18/2017Claimant(s): Angelina Gerber, Harvey Gerber, H&A Gerber Trust dated 7/5/2005, The Lambert Family Trust dd 11/4/2007
Claimant Lawyers(s): Philip Aidikoff, Ryan K. Bakhtiari
Respondent(s): Charles Laverty, Oppenheimer & Co.., UBS Financial Services Inc.
Respondent Lawyers(s): Gary R. Wallace, Neal S. Robb, Robert B. Ericson
Arbitrator(s): Elliott Zachary Seff, Arthur T. Berggren, Cherie S. Lewis
Hearing Site: Los Angeles, CA
Checkmark Icon$1,379,400
15-0258104/21/2017Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Esperanza Padilla Gomez, John Carroll
Respondent Lawyers(s): Mitchell J. Albert, Sharron Ash
Arbitrator(s): Andrew M. Mintzer, Elliott Zachary Seff, Martin J. Kotowski
Hearing Site: Los Angeles, CA
Stipulated Award
14-0087202/25/2016Claimant(s): Nora Smith, Estate of Dennis L. Smith, Dennis L. Smith Trust dtd 11/30/07
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Elliott Zachary Seff, Robert B. Hansohn, Robert Alan Merring
Hearing Site: Los Angeles, CA
Checkmark Icon$0
13-0231302/11/2016Claimant(s): Brown Family Trust
Claimant Lawyers(s): Thomas R. Ajamie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Jennifer I. Machlin
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, David W. Dresnick
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0061412/22/2015Claimant(s): Lewis Booth
Claimant Lawyers(s): Adam Brett Wolf
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, Morris S. Getzels
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
13-0373405/14/2015Claimant(s): Stanley Behrens Living Trust dtd July 8
Claimant Lawyers(s): Kenneth J. Catanzarite
Respondent(s): Morgan Stanley, Rafael De Vengoechea, Sandra Rutan
Respondent Lawyers(s): Debra (Volland) Achkire
Arbitrator(s): Barbara M. Zak, Elliott Zachary Seff, Eric Gad Forster
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0102512/15/2014Claimant(s): Grant Gochin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Elliott Zachary Seff, Constance Ellen Boukidis, Daniel R. Brush
Hearing Site: Los Angeles, CA
12-0016911/19/2014Claimant(s): Benjamin Hoch, Holly Hoch, Hoch Family Trust as Amended & Restated
Claimant Lawyers(s): Brian E. Shear, Theodore J. Cohen
Respondent(s): J.P. Morgan Securities, Robert Klein
Respondent Lawyers(s): Paul Schumacher
Arbitrator(s): Elliott Zachary Seff, Susan B. Gans-Smith, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
Checkmark Icon$485,000

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