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FINRA Awards for Sheldon M. Jaffe

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Case Number Award Date Case Summary Customer Case? Amount Granted
18-0055603/05/2021Claimant(s): Jefferies LLC
Claimant Lawyers(s): Andrew J. Shapren
Respondent(s): Edward Swigert
Respondent Lawyers(s): David Jacobs
Arbitrator(s): Sheldon M. Jaffe, Kendall C. Reed, Frank Cronin
Hearing Site: Los Angeles, CA
17-0058103/27/2018Claimant(s): Mihail Naumovski
Claimant Lawyers(s): Marc D. Schifanelli
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Alyson Terrell
Arbitrator(s): Sheldon M. Jaffe, W. Scott Bowersock, George Herman Frisch
Hearing Site: Los Angeles, CA
08-0282006/12/2009Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Robert Whidden
Respondent Lawyers(s): Allan Bloom
Arbitrator(s): Sheldon M. Jaffe, Michael D. Harrison, Steven J. Feldman
Hearing Site: Los Angeles, CA
04-0039304/23/2008Claimant(s): Peter Grymkowski
Claimant Lawyers(s): Bryan C. Altman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Sheldon M. Jaffe, Arthur F. Brueggeman, W. Alex King
Hearing Site: Los Angeles, CA
Checkmark Icon$31,000

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