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FINRA Awards for Sylvia M. Scott

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Displaying 10 out of 16 results
Case Number Award Date Case Summary Customer Case? Amount Granted
20-0247507/08/2021Claimant(s): Angelo Pastorino
Claimant Lawyers(s): James G. Morris
Respondent(s): Christopher Miller, Raymond Sun, Trevor Gordon, Sandlapper Securities, Sandlapper Student Housing LLC, Specialized Wealth Management
Respondent Lawyers(s): Cameron S. Matheson, Sylvia M. Scott, Trevor L. Gordon
Arbitrator(s): Steven Gourley, Michael Harrison, Peggy Jane Fisher
Hearing Site: Los Angeles, CA
Checkmark Icon$0
19-0081002/25/2020Claimant(s): David Hunt
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Elliott Finkel
Hearing Site: Los Angeles, CA
17-0154502/01/2018Claimant(s): George Melbrod, Scott Melbrod
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Gunnar Thowsen, Herbert Liberman, Robert F. Saint-Aubin
Hearing Site: San Diego, CA
14-0267703/25/2016Claimant(s): APS Corporation USA
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Bruce Roberts, Peter Milhaupt, Sanjay Raghavan, Carolina Financial Securities
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s):
Hearing Site: Chicago, IL
Checkmark Icon$0
13-0188909/16/2015Claimant(s): Cliff Shum
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Philip Aaron Tymon, Homer L. Davis, Gary Kostow
Hearing Site: San Francisco, CA
13-0280507/07/2015Claimant(s): Christine McBroom
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Frank R Weaver, Pamela S. Mann, James G. Gillivan
Hearing Site: San Francisco, CA
13-0081906/11/2015Claimant(s): David Trotter, Elias Muasher, Eric Kovach, Issa Muasher, Jena Muasher, Joanne Trotter, Kurt Schellhas, Sommer Muasher
Claimant Lawyers(s): Seth Huberman
Respondent(s): Jeremy Kopp, Wade Bradley, Indievest Securities.
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s): Alan Stamm, Kirtley M. Thiesmeyer, Russell T. Doe
Hearing Site: Los Angeles, CA
Checkmark Icon$0
14-0252703/25/2015Claimant(s): Richard Simpson
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Helen James, Helen James Living Trust
Respondent Lawyers(s): Helen James
Arbitrator(s): James D. Knotter, John Goodrich, Steven F. Bernstein
Hearing Site: San Diego, CA
Expungement
14-0048212/22/2014Claimant(s): Andrea Halperin
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Trish M. Higgins
Arbitrator(s): Richard N. Friedman, June McLaughlin, Dorothy B. Strackbein
Hearing Site: Los Angeles, CA
11-0467207/01/2014Claimant(s):
Claimant Lawyers(s):
Respondent(s): Aaron Foley, Daniel Joyce, Joel Ravitz, Mark Minichiello, Moors & Cabot., Quincy Cass Associatesorporated
Respondent Lawyers(s): David L. Ward, Sylvia M. Scott, Timothy J. Perry
Arbitrator(s): Mary C. Kelleher, Stephen M. Acerra, Frank Sanclemente
Hearing Site: Boston, MA

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