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FINRA Awards for Elliott David Finkel

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Displaying 21-30 out of 47 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0119212/04/2018Claimant(s): Stella Bi
Claimant Lawyers(s): Mia Munro
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Matthew Klafter
Arbitrator(s): Alan Stamm, Elliott D. Finkel, Cherie S. Lewis
Hearing Site: Los Angeles, CA
16-0080206/01/2018Claimant(s): Joel Kettler
Claimant Lawyers(s): Robert J. Girard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Elliott D. Finkel, Jeanne E. Irving, Jack R. Goetz
Hearing Site: Los Angeles, CA
17-0208704/30/2018Claimant(s): Timofey & Evgeniya Zharikova
Claimant Lawyers(s): John Salvino
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elliott David Finkel
Hearing Site: Las Vegas, NV
Checkmark Icon$0
16-0340704/23/2018Claimant(s): Thomas Calder
Claimant Lawyers(s): Thomas B. Calder
Respondent(s): Financial West Group
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty
Hearing Site: Los Angeles, CA
17-0264203/19/2018Claimant(s): Glen Titan, Royce Bergman
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Cheryl S. Chang
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
16-0267801/03/2018Claimant(s): Richard Long
Claimant Lawyers(s): I. Donald Weissman
Respondent(s): J.P. Morgan Securities, Ruben Cavada
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Elliott David Finkel, Michael John Florio, John R Sustersic
Hearing Site: Los Angeles, CA
Checkmark Icon$0
17-0117010/10/2017Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Bruce B. Johnson
Respondent(s): Peter Klinbuakeo
Respondent Lawyers(s): Peter S. Klinbuakeo
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0268403/30/2017Claimant(s): Adina Pruitt
Claimant Lawyers(s): Erin E. Hanson
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ryan S. Lean
Arbitrator(s): Roberta Haft, Elliott David Finkel, Robert E. Jenks
Hearing Site: Los Angeles, CA
14-0368212/28/2016Claimant(s): Kevin Dwyer
Claimant Lawyers(s): Zshonette L. Reed
Respondent(s): Cullen Crabbe, Stephen Kipp, Kipp Financial Group.
Respondent Lawyers(s): Cullen Crabbe, H. Thomas Fehn
Arbitrator(s): Elliott David Finkel, Erik R. Siering, Daniel R. Brush
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0154803/31/2016Claimant(s): Gary Cremo
Claimant Lawyers(s): Christine A. Page
Respondent(s): Oppenheimer & Co.., Raymond James Financial Services.
Respondent Lawyers(s): John T. McGuire, Robert M. Rudnicki
Arbitrator(s): Elliott David Finkel, Gerald C. Tambe, Dana L. Bigman
Hearing Site: Los Angeles, CA

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