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FINRA Awards for Sofi Securities LLC

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0290209/06/2023Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Timothy Worley
Respondent Lawyers(s): Timothy Worley
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
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22-0287906/02/2023Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R Uunderwood
Respondent(s): Andre Ismailyan
Respondent Lawyers(s): Andre Ismailyan
Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
22-0100402/22/2023Claimant(s): Lee Holland
Claimant Lawyers(s): Lee M. Holland
Respondent(s): Sofi Securities LLC
Respondent Lawyers(s): William Corey
Arbitrator(s): Andrea J. Goldman
Hearing Site: Boston, MA
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