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FINRA Awards for Ann Elizabeth Sarli

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Case Number Award Date Case Summary Customer Case? Amount Granted
23-0019603/26/2024Claimant(s): Shian-Chang Yu
Claimant Lawyers(s): Kamal Ghali
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jason O. Billy
Arbitrator(s): Vivian L. Kral, Philip Aaron Tymon, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
Checkmark Icon$1,491,020
21-0296710/20/2022Claimant(s): Amy Diehl
Claimant Lawyers(s): James A. Hughes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma C. Tomsick
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
20-0273007/07/2021Claimant(s): Everest Wong
Claimant Lawyers(s): Chelsea Masters
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
16-0335909/11/2019Claimant(s): Thomas Carney
Claimant Lawyers(s): William R. Lindsley
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin J. Woods
Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA

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