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FINRA Awards for Rocky Vista University

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0213410/05/2023Claimant(s): Rocky Vista University, Yife Tien Irrevocable Dynasty Trust
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Aaron Lupuloff, Stifel, Nicolaus & Co.., Jandra Lubovich, Jon Cooper, Intl Fcstone Financial Inc.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Meah Rothman Tell, Seth L. Finkel, Nanci Sondra Landy
Hearing Site: Miami, FL
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