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FINRA Awards for Elaine M. Rice

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Displaying 10 out of 20 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0242504/28/2022Claimant(s): Gerald Fasanella
Claimant Lawyers(s): Gary Menzer
Respondent(s): Cetera Advisors.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): David L. Shores, Martin M. Van Luven, John Winslow Griesser
Hearing Site: Orlando, FL
20-0325608/31/2021Claimant(s): The Sorkin Living Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Cetera Advisor Networks LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Gayle B. Carlson, Alan E. Linden, Tyrone Nathaniel Watson
Hearing Site: Orlando, FL
Checkmark IconDismissed by Rule 12206
20-0251802/26/2021Claimant(s): David Bennett
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Joel F. Martineau, Thomas J. Patka, Howard B. Scherer
Hearing Site: Tampa, FL
18-0430607/17/2019Claimant(s): Richard Kiesel
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America., Kestra Investment Services
Respondent Lawyers(s): David J. Lehr, Tyler Schubauer
Arbitrator(s): Mark C. Perry, Steven M. Greenbaum, Carl Shechter
Hearing Site: Boca Raton, FL
17-0025303/05/2019Claimant(s): James Hall
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Michael Rees
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Russell W. Merriman, Bryant Ashley Scriven, Leslie Ann Thornton
Hearing Site: Tampa, FL
18-0234711/06/2018Claimant(s): Ji Qiao Liang and Yuet Chun F Liang JT
Claimant Lawyers(s): Sherwin S Louie
Respondent(s): Carmen Iao, Cetera Investment Services LLC.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
Checkmark Icon$1,016
15-0292707/28/2016Claimant(s): Jack Wolff
Claimant Lawyers(s): Joel Wertman
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Patrick D. King, Gayle B. Carlson, Sydney E. Blum
Hearing Site: Tampa, FL
15-0131103/16/2016Claimant(s): Suzanne Taylor
Claimant Lawyers(s): Deanna Besbekos
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Mary M. O'Neil, Daniel Lawrence Pearlman, Michael Joseph Desmond
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206
14-0224404/21/2015Claimant(s): Todd Hoffman
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Jerrold E. Slutzky, Richard S. Zaifert, Martin M. Van Luven
Hearing Site: Tampa, FL
14-0255003/30/2015Claimant(s): Arthur Cooper, David Mcmanus
Claimant Lawyers(s): Elaine M. Rice, George L. Guerra
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Helen Marinak Blohm, Laurel Littman Gothelf, Cynthia B. Stone
Hearing Site: Los Angeles, CA

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