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FINRA Awards for Neil S. Jasper

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Displaying 11-20 out of 29 results
Case Number Award Date Case Summary Customer Case? Amount Granted
18-0100609/14/2018Claimant(s): Diana Navarre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
16-0236903/05/2018Claimant(s): Ann Ellingson, Ann B. Ellingson IRA Accounts, Ellingson Family Partners Business Trust
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Neil S. Jasper, Michael M. Hachigian, Mark Thomas Risner
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
17-0043003/05/2018Claimant(s): Alan Fields
Claimant Lawyers(s): Jon E. Drucker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Walton
Arbitrator(s): John E. Ohashi, Neil S. Jasper, Michael John Florio
Hearing Site: Los Angeles, CA
Checkmark Icon$0
16-0046006/05/2017Claimant(s): Ronnie Harper, Ronnie Benny Harper Revocable Living Tru
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Royal Alliance Associates., Regal Advisory Services.
Respondent Lawyers(s): Frederick A. Rafeedie
Arbitrator(s): Neil S. Jasper, Edward A. Trabin, W. Alex King
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
15-0300604/25/2017Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Lawyers(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
14-0227905/04/2016Claimant(s): Gary Croan
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Fordham Financial Management.
Respondent Lawyers(s): Phyllis Henderson
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Checkmark Icon$8,847
13-0365003/31/2015Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Tiffany Peacock-Asakawa
Respondent Lawyers(s): Tiffany Danielle Peacock-Asakawa
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
14-0307903/16/2015Claimant(s): Teresa Vautier, William Desser
Claimant Lawyers(s): Paul J. Schumacher
Respondent(s): Donna Toral
Respondent Lawyers(s): Donna Toral
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Expungement
13-0301602/26/2015Claimant(s):
Claimant Lawyers(s):
Respondent(s): Fred Hamsayeh, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson, Fred Hamsayeh
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Checkmark Icon$0
13-0266312/12/2014Claimant(s): Benjamin H Kwon, Castle Eurasia Corp
Claimant Lawyers(s): Benjamin H Kwon
Respondent(s): Bryan Snitselaar, E*Trade Securities LLC, Russell Scherrer, E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin, Meredith F. Hoffman, Ryan Lean, Steve Young
Arbitrator(s): Robert D. Sussin, Neil S. Jasper, Vincent J. Natoli
Hearing Site: Los Angeles, CA
Checkmark Icon$0

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