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FINRA Awards for Elizabeth Lowery

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Displaying 10 out of 28 results
Case Number Award Date Case Summary Customer Case? Amount Granted
23-0206102/20/2024Claimant(s): Edward Yoon
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Diana Offen, Mehdi Famili
Respondent Lawyers(s): Diana Offen, Mehdi Famili
Arbitrator(s): Mary M. O'Neil, Robert C. Albini, Daniel Farid Yasharel
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
21-0264611/22/2022Claimant(s): Carol Monte
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Jonathan H. Krotinger, Paul E. Dahlman, Jon Richard Catten
Hearing Site: Boise, ID
Checkmark IconExpungement
21-0151207/01/2022Claimant(s): Mitchell Dehler, Sadhna Dehler, Mitchell Dehler SEP IRA, Sadhna Dehler Roth IRA
Claimant Lawyers(s): Adam J. Gana
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Susan B. Gans-Smith, Gerald Anthony Pokorski, Aaron Nathan Shechet
Hearing Site: Los Angeles, CA
Checkmark IconExpungement
19-0312408/10/2020Claimant(s): Irma L. Castrova
Claimant Lawyers(s): Robert B. Volynsky
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Robert Rosen, Milton N. Gross, Walter Thompson
Hearing Site: Los Angeles, CA
Checkmark Icon$0
16-0074606/05/2020Claimant(s): Robert Schmiedeke, Robert E Schmiedeke Separate Property Tr
Claimant Lawyers(s): Kenneth J Catanzarite
Respondent(s): Jim Lund, Investors Capital Corp., National Planning Corporation
Respondent Lawyers(s): Derek C, Anderson, Elizabeth Lowery
Arbitrator(s): Benjamin F. Breslauer, Virginia Alice Suveiu, Betty Jean Jackson
Hearing Site: Los Angeles, CA
Checkmark IconDismissed by Rule 12206/12504
18-0346311/01/2019Claimant(s): Mark Tsuchiyose, Bay Area Digestive Health Medical Grp T, Mark & Kazumi Tsuchiyose Trust
Claimant Lawyers(s): Marc I Zussman
Respondent(s): John Lau, Girard Securities., LFS Asset Management
Respondent Lawyers(s): Craig Zafis, Elizabeth Lowery
Arbitrator(s): Kenneth M. Weinman, Eric Gad Forster, Leslie Marie Hopp
Hearing Site: Los Angeles, CA
Checkmark Icon$0
18-0405109/25/2019Claimant(s): Tanya Coffeen
Claimant Lawyers(s): Mark A Tepper
Respondent(s): Raymond, James & Associates., D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery, Stanton A. Fears
Arbitrator(s): John Burritt McArthur
Hearing Site: San Francisco, CA
Checkmark Icon$69,554
17-0337101/07/2019Claimant(s): Timothy Hughes
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Joan Mccool, SECU Brokerage Services
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Alan Stamm, Mark A. Levy, Rahsan Malik Boykin
Hearing Site: Los Angeles, CA
16-0035411/26/2018Claimant(s): C & S Whitmore Living Trust, Chad & Susan Whitmore, TTEEs
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Charles G. Michaels, Ruth M. Moore, Dennis C Moore
Hearing Site: Denver, CO
Checkmark Icon$950,752
17-0129108/10/2018Claimant(s): SPJST
Claimant Lawyers(s): Hamilton Rial
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Clement Osimetha, Martin Lowy, Mark Leslie Burdette
Hearing Site: Dallas, TX
Checkmark IconExpungement

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