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FINRA Awards for Christopher Seps

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0002206/01/2021Claimant(s): Norbert Filian
Claimant Lawyers(s): Christopher Seps
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Leon Fox, Michael R. Sherwin, Stephen M. Parlier
Hearing Site: Chicago, IL
20-0295402/22/2021Claimant(s): Michael Darvish
Claimant Lawyers(s): Christopher Seps
Respondent(s): Spartan Capital Securities
Respondent Lawyers(s): Kim Monchik
Arbitrator(s): Jill Pilgrim
Hearing Site: New York, NY
20-0066907/24/2020Claimant(s): Suihock Goy
Claimant Lawyers(s): Christopher Seps
Respondent(s): Ni Advisors
Respondent Lawyers(s): Xianzhong Zhu
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
16-0262701/30/2017Claimant(s): Ernest Tatyrek
Claimant Lawyers(s): Ernest Ray Tatyrek
Respondent(s): Ervin Decker, J.P. Morgan Securities
Respondent Lawyers(s): Christopher Seps, Michael N. Ungar
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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15-0054208/23/2016Claimant(s): Arthur Miller
Claimant Lawyers(s): David E. Robbins
Respondent(s): Terra Capital Markets LLC
Respondent Lawyers(s): Christopher Seps
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY

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