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FINRA Awards for John Ellis

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Case Number Award Date Case Summary Customer Case? Amount Granted
19-0024606/13/2019Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John Ellis
Respondent(s): Jacob Williams
Respondent Lawyers(s): Jacob Samuel Williams
Arbitrator(s): George King
Hearing Site: San Francisco, CA
16-0122801/06/2017Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John Ellis
Respondent(s): Thomas Bennett
Respondent Lawyers(s): Thomas Bradford Bennett
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
14-0235704/21/2015Claimant(s): Benjamin Sax, Eric Bodner
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): Deborah Friedman
Respondent Lawyers(s): John Ellis
Arbitrator(s): James D. Adducci
Hearing Site: Chicago, IL
Expungement

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