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FINRA Awards for Bart Ellis

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Case Number Award Date Case Summary Customer Case? Amount Granted
13-0226303/19/2014Claimant(s): Kelly Curran
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Bart Ellis, Ameriprise Financial Services.
Respondent Lawyers(s): Bart James Ellis, Susan E. Sheely
Arbitrator(s): Carol McHugh Sanders
Hearing Site: Chicago, IL
Checkmark Icon$43,444
08-0349104/01/2010Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Lee
Respondent(s): Bart Ellis
Respondent Lawyers(s): Michael E. Lavelle
Arbitrator(s): Jeffrey W. Finke, Elizabeth C. Burton, Elayne Morgan
Hearing Site: Chicago, IL

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