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FINRA Awards for James Jay Seltzer

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Displaying 4 out of 4 results
Case Number Award Date Case Summary Customer Case? Amount Granted
04-0077204/16/2009Claimant(s): Isabelita Nopuente, OB1 Ltd
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Cornelius Choy, H.D. Vest Investment Services
Respondent Lawyers(s): Gary S. Kessler, Robert T. Sullwold
Arbitrator(s): Thomas H. O'Connor, Peter H. Daly, Joseph A. Lasky
Hearing Site: San Francisco, CA
Checkmark Icon$0
06-0061812/17/2007Claimant(s): Steven Thompson
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Thomas D. Reese, Dean J. Dietrich, Steven K. McGinnis
Hearing Site: San Francisco, CA
Checkmark Icon$0
06-0169911/21/2007Claimant(s): Mildred Bierce, Mildred E. Bierce IRA
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John J. Fitzpatrick, William Michael Samsel, Mark Aaron Jones
Hearing Site: San Francisco, CA
Checkmark Icon$250
03-0212711/02/2007Claimant(s): William F. Garland
Claimant Lawyers(s): James Jay Seltzer
Respondent(s): Dale Low, Eric Salz, Charles Schwab & Co.., Samuel Berger, SDR Capital Management.
Respondent Lawyers(s): Brian A. Carlis, Richard A. Karoly
Arbitrator(s): Sterling N. Frost, Peter Kassel, Bradley C. Mitchell
Hearing Site: San Francisco, CA
Checkmark IconStipulated Award and Expungement

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