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FINRA Awards for Elaine Rice

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Case Number Award Date Case Summary Customer Case? Amount Granted
21-0030508/31/2022Claimant(s): Gene Lindenboom, Mary Lindenboom
Claimant Lawyers(s): Lars Soreide
Respondent(s): Justin Dolan, Cetera Advisors LLC
Respondent Lawyers(s): Elaine Rice
Arbitrator(s): Brian Michael Kane, Philip William Vineyard, Donald Gene Tanner
Hearing Site: Jacksonville, FL
Checkmark IconExpungement
20-0098810/30/2020Claimant(s): Gregory Smith
Claimant Lawyers(s): Elaine Rice
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): Suzanne E. Reynolds-Brady, Maurice M. Feller, Mitchel Weiss
Hearing Site: Jacksonville, FL
19-0021107/10/2019Claimant(s): Ronald Bare
Claimant Lawyers(s): Elaine Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Louis H. Miron, John Michael Derderian, Ellen F. Kandell
Hearing Site: Wilmington, DE

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