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FINRA Awards for Jeffrey L. Malek

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Displaying 10 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0312811/26/2024Claimant(s): Jane Cao
Claimant Lawyers(s): Harris Freedman
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
24-0080310/24/2024Claimant(s): D.A. Davidson & Co.
Claimant Lawyers(s): Nancy L Hendrickson
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Austin Davis
Arbitrator(s): Robert D. Sussin, Jeffrey L. Malek, Anna Marie Turco
Hearing Site: Los Angeles, CA
23-0157709/05/2024Claimant(s): Lester Berman
Claimant Lawyers(s): John Owen Murrin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Erik R. Siering, Jeffrey L. Malek, Randall William Clow
Hearing Site: Los Angeles, CA
Checkmark Icon$0
22-0257203/25/2024Claimant(s): Emma Ward
Claimant Lawyers(s): Scott L. Silver
Respondent(s): PHX Financial.
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
19-0023107/27/2022Claimant(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Claimant Lawyers(s): Robert A. Sacks
Respondent(s): Tim Leissner
Respondent Lawyers(s): Henry E. Mazurek
Arbitrator(s): Jeffrey L. Malek, Daniel R. Brush, Andrew W. Levin
Hearing Site: Los Angeles, CA
18-0203411/03/2020Claimant(s): Gauntlet Holdings LLC
Claimant Lawyers(s): Craig Beling
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): John D. Ruark
Arbitrator(s): Jeffrey L. Malek, John R Sustersic, Jeff Hass
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0271503/27/2020Claimant(s): Paul Kuhn
Claimant Lawyers(s): Paul D Kuhn
Respondent(s): Jimmy Epley
Respondent Lawyers(s): Ryan D. Harvey
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Las Vegas, NV
17-0133409/18/2018Claimant(s): Estate of Manlio Frank Ajello, Deceased, Emily Gordon
Claimant Lawyers(s): Emily Gordon
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Simeon M. Schopf
Arbitrator(s): Joseph Winter, Jeffrey L. Malek, Judy Man-Ling Lam
Hearing Site: Los Angeles, CA
Checkmark Icon$0
15-0035110/13/2016Claimant(s): Bambi Holzer
Claimant Lawyers(s): Heather Davis
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Richard A. Stephens, Jeffrey L. Malek, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
15-0141205/13/2016Claimant(s): Stuart Simpson
Claimant Lawyers(s): John L. Palmer
Respondent(s): Paulson Investment Company, James Schwartz, Joseph Lascala, Kevin Stamm, Shawn Mcchesney, Steven Luftschein, Thomas Custance
Respondent Lawyers(s): James Bradley Schwartz, Joseph Brian Lascala, Kevin Robert Stamm, Stephen P. McCarthy, Steven Robert Luftschein, Tanya Durkee Urbach, Thomas Michael Custance
Arbitrator(s): Jeffrey L. Malek
Hearing Site: Los Angeles, CA
Checkmark Icon$300

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