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FINRA Awards for Elizabeth H. Lindh

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Displaying 10 out of 25 results
Case Number Award Date Case Summary Customer Case? Amount Granted
21-0226403/23/2023Claimant(s): Estate of Ellard (through PR)
Claimant Lawyers(s): Anthony F. Fata
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Dianne Marie Onichimowski, Mark W Solock, Matthew James Mc Carter
Hearing Site: Chicago, IL
Checkmark Icon$782,273
22-0066503/02/2023Claimant(s): Timothy Cunningham
Claimant Lawyers(s): Timothy J. Cunningham
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mary Mackey, Louis Anthony Napoli, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
Checkmark Icon$0
22-0030902/15/2023Claimant(s): Lei Wang
Claimant Lawyers(s): Lei Wang
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Mario H. Metzger, Andrew M. Mintzer, Barry D. Kaye
Hearing Site: Los Angeles, CA
Checkmark Icon$40,375
17-0249501/31/2022Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): Michael Margiotta
Respondent Lawyers(s): Steve Alan Buchwalter
Arbitrator(s): Paula K. Konikoff, George Herman Frisch, Jonathan Gartner
Hearing Site: Los Angeles, CA
19-0227410/05/2021Claimant(s): Hanala Sagal
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Nancy G. Harris, Thomas R. Watkins, Robert C. Albini
Hearing Site: Los Angeles, CA
Checkmark Icon$355,865
19-0365204/13/2021Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
19-0363011/17/2020Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): UBS Financial Services Inc., Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell, Elizabeth H. Lindh
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
18-0278211/25/2019Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): George Herman Frisch
Hearing Site: Los Angeles, CA
19-0123011/06/2019Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Elizabeth H. Lindh
Respondent(s): John Agostino
Respondent Lawyers(s): John Shannon Agostino
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
18-0366010/11/2019Claimant(s): Isidro Miramontes
Claimant Lawyers(s): David Harrison
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Elizabeth H. Lindh, Nicholas Y. Lin
Arbitrator(s): Natalie Panossian-Bassler
Hearing Site: Los Angeles, CA

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