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FINRA Awards for Ellen J. Abrams

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Displaying 10 out of 36 results
Case Number Award Date Case Summary Customer Case? Amount Granted
22-0135608/22/2023Claimant(s): Fondo De Inversion Privado FRC, Inversiones Don Fernando Spa
Claimant Lawyers(s): Jason P. Gottlieb
Respondent(s): CGIS Securities LLC
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Michael Adam Gross
Hearing Site: Boca Raton, FL
Checkmark Icon$0
21-0235406/09/2023Claimant(s): Reid Nagle Revocable Trust
Claimant Lawyers(s): John Fialcowitz
Respondent(s): Charles Schwab & Co.., Rockingstone Advisors
Respondent Lawyers(s): Gordon C. Young, John Fialcowitz
Arbitrator(s): Ellen J. Abrams, Carl Henry Perdue, Mark E. English
Hearing Site: Boca Raton, FL
Checkmark Icon$0
21-0010103/17/2022Claimant(s): William Valle
Claimant Lawyers(s): William Isaac Valle
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Ellen J. Abrams, Richard S. Herman, Krista Fanning Kersey
Hearing Site: Boca Raton, FL
18-0381509/14/2021Claimant(s): Robert McCabe
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Beth A. Black
Arbitrator(s): Herbert Branitsky, Ellen J. Abrams, Laura Jeanette Bornheimer
Hearing Site: Boca Raton, FL
19-0116305/07/2020Claimant(s): Sandra Dannenberg
Claimant Lawyers(s): Lars Soreide
Respondent(s): Oppenheimer & Co.., Sean Rooney
Respondent Lawyers(s): John T. McGuire, Neil S. Baritz
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
Checkmark Icon$0
18-0358003/09/2020Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Adam Schachter
Respondent Lawyers(s): Adam Craig Schachter
Arbitrator(s): Steven R. Reininger, Daniel H. Yaffe, Ellen J. Abrams
Hearing Site: Boca Raton, FL
18-0016209/17/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Lawyers(s): Christopher Kammerer
Arbitrator(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
18-0091512/14/2018Claimant(s): Herbert Moskowitz & Marilyn Moskowitz
Claimant Lawyers(s): Herbert Moskowitz
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith F. Hoffman
Arbitrator(s): William Kent Brown, Ellen J. Abrams, Marvin S. Lava
Hearing Site: Boca Raton, FL
Checkmark Icon$75,000
17-0082611/08/2018Claimant(s): Adam Franzen
Claimant Lawyers(s): Rosemary Cooney
Respondent(s): Daniel King, Frank Fusco, Michael Stanton, Legend Securities.
Respondent Lawyers(s): Frank P. Fusco, Michael S. Stanton, Ross J. Kartez, Salvatore C. Caruso
Arbitrator(s): Ellen J. Abrams
Hearing Site: Boca Raton, FL
Checkmark Icon$0
16-0077608/07/2018Claimant(s): Gwendolyn Denton
Claimant Lawyers(s): Gwendolyn Denton
Respondent(s): Morgan Stanley, Pilar Estrella
Respondent Lawyers(s): Kim J. Gustafson
Arbitrator(s): Monroe Mitchel, Ellen J. Abrams, Andrea R. Jacobs
Hearing Site: Boca Raton, FL
Checkmark Icon$0

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