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FINRA Awards for Ethan Joseph Brown

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Case Number Award Date Case Summary Customer Case? Amount Granted
22-0287906/02/2023Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R Uunderwood
Respondent(s): Andre Ismailyan
Respondent Lawyers(s): Andre Ismailyan
Arbitrator(s): Cynthia B. Stone, Mary M. O'Neil, Ethan Joseph Brown
Hearing Site: Los Angeles, CA
Checkmark IconSettlement
13-0357607/08/2015Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Ken M. Fitzgerald
Respondent(s): James Wohlford, Penney Sick
Respondent Lawyers(s): D. Greg Durbin, Ken M. Fitzgerald
Arbitrator(s): Arthur T. Berggren, Kevin Joseph Pilon, Ethan Joseph Brown
Hearing Site: Los Angeles, CA

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