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Arbitration Awards Online

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Displaying 1 - 15 of 66407
Award Document Case Summary Document Type Forum Date of Award
25-01532
Claimant(s): William Shepard
Claimant Representative(s): Josef Y. Rosen
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Benjamin F. Breslauer, Kirtley M. Thiesmeyer, Carl F. Bowmer
Hearing Site: Orlando, FL
Award FINRA 06/08/2026
25-00684
Claimant(s): Shane Saplitsky
Claimant Representative(s): Jared M. Wichnovitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Jeff Goldman
Neutral(s): Edith M. Novack
Hearing Site: Jersey City, NJ
Award FINRA 06/08/2026
25-01862
Claimant(s): Edward Valderrama
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz-Rivera
Neutral(s): Phillip Weitzman
Hearing Site: New York, NY
Award FINRA 06/08/2026
25-01429
Claimant(s): Haydee Delgado
Claimant Representative(s): Roberto C. Quiñones Rivera
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Rey F. Medina-Vélez
Neutral(s): Susan L. Luck, Louis David Huss, Michael Evan Beckman
Hearing Site: San Juan, PR
Award FINRA 06/08/2026
22-01082
Claimant(s): Albert Konetzni, Alexander Uzaga, Allen Bealer, Arnold Anderson, Bonnie Smith, Brian Nordhagen, Bruce Ferris, Bruce Smith, Bryan Forstman, Catherin Clayton, Craig Mcivor, Dan Roark, Dan Shalhoub, Daniel Huntley, David Briss, David Chaplin, David Clayton, David Gable, David Gillespie, David Iverson, David Kolesar, David Parta, David Petterson, David York, Dennis Knight, Dennis Mcbroom, Denny Lenz, Diane Jones, Dominic Frio, Donald Bishop, Douglas Williams, Dustin McCurdy, Eddie Fischer, Eddie Yaklin, Fredrick Johnson, Gary Beck, Gary Carlisle, Gerald Johnson, Gordon Smith, Grant Lambert, Greg Pravecek, Harvey Cohen, Harvey Segal, Henry Salomonsky, Holly Fleschler, Huxley Richardson, James Knapp, James Schwartz, Janet Silke, Jason Guzak, Jeffrey Hipp, Jeffry Pickens, Jerome Finn, John Boucher, John Loy, John Restivo, Johnathan Teske, Joseph Acquarulo, Keith Bostrom, Kenneth Clark, Kent Penrod, Kerry Hopkins, Kevin Benz, Kevin Thurston, Lance Oslinker, Lawrence Clarke, Maria Roark, Mark Siegel, Marshall Reid, Martin Pressman, Marvin Rietema, Matthew Whitmus, Michael Backus, Michael Thomas, Michael Winje, Miguel Tavarez, Nathan Iverson, Oystein Haaverstad, Perviz Guard, Renae Bostrom, Richard Curry, Richard Dawalt, Richard McGinnis, Richard O'brien, Robert Hayes, Robert Odenheimer, Robert Winter Burkett, Rodney Krab, Roger Lynn, Ronald Gagnon, Ronald Miller, Russell Piburn, Scott Haag, Scott Welch, Shirley Lane-Konetzni, Stanley Fleischer, Stephen Collins, Stephen Fleschler, Steven Brown, Stuart Laan, Ted Brown, Terry Murff, Theodore Hovda, Theresa Ferris, Thomas Hodd, Thomas Riddle, Thomas Skjold, Thomas Woosley, William Siefert, William Silke, Pravecek Bros Inc., Estate Of Serena I. Cohen
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Axos Clearing LLC
Respondent Representative(s): Carl S. Burkhalter
Neutral(s): Barbara L. Edin, Gwendolyn Canady, Temitope Oluyomi Popoola
Hearing Site: Houston, TX
Award FINRA 06/05/2026
26-00124
Claimant(s): Liliya Lebedeva
Claimant Representative(s): Anton Dentchouk
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jason O. Billy
Neutral(s): Thomas M. Madden
Hearing Site: New York, NY
Award FINRA 06/05/2026
26-00220
Claimant(s): Kathryn L. Fife
Claimant Representative(s): Kathryn L Fife
Respondent(s): Primerica Brokerage Services, Inc.
Respondent Representative(s): Wes Holston
Neutral(s): Allan R. Lazor
Hearing Site: Little Rock, AR
Award FINRA 06/05/2026
24-00704
Claimant(s): Andrew Waldbaum, Lisa Detanna
Claimant Representative(s): Scott E. Rahn
Respondent(s): Raymond James & Associates, Inc.
Respondent Representative(s): Laura Ruiz Rivera
Neutral(s): Herb Schwartz, Nicholas John Taldone, Jay H. Feldstein
Hearing Site: Los Angeles, CA
Award FINRA 06/04/2026
25-02200
Claimant(s): Michael Carrano
Claimant Representative(s): Peter Lindholm
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart Rebish
Neutral(s): Kenneth R. Starr, Anita Rae Shapiro, Stephanie Jeannette Charny
Hearing Site: Portland, OR
Award FINRA 06/04/2026
26-00231
Claimant(s): Yauniel Valdes
Claimant Representative(s): Yauniel Valdes
Respondent(s): Robinhood Financial, LLC.
Respondent Representative(s): Simeon M. Schopf
Neutral(s): Diane M. Perry
Hearing Site: Boca Raton, FL
Award FINRA 06/04/2026
26-00177
Claimant(s): Steven Childers
Claimant Representative(s): Steven M. Childers
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Jason S. Pinney
Neutral(s): Yana Karnaukhov
Hearing Site: Chicago, IL
Award FINRA 06/04/2026
25-02417
Claimant(s): Pamela Wise
Claimant Representative(s): David I. Hantman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart Rebish
Neutral(s): Ilene T. Gormly, Theresa Joan Rosenberg, Matthew Stephen Duchesne
Hearing Site: Washington, DC
Award FINRA 06/03/2026
25-00364
Claimant(s): Steven Seid
Claimant Representative(s): Laurence M. Landsman
Respondent(s): Touchstone Securities, Inc.
Respondent Representative(s): Benjamin A. Emmert
Neutral(s): Ronald Chun, Gary Kostow, Anthony Knight
Hearing Site: San Francisco, CA
Award FINRA 06/03/2026
25-02830
Claimant(s): Yatan Shih
Claimant Representative(s): Yatan Shih
Respondent(s): Firstrade Securities Inc.
Respondent Representative(s): Meredith Kelly
Neutral(s): Lawrence R. Mills
Hearing Site: San Francisco, CA
Award FINRA 06/03/2026
25-00629
Claimant(s): Christa McGillen
Claimant Representative(s): Tyler Reynolds
Respondent(s): Morgan Stanley
Respondent Representative(s): Lawrence G. Barbot
Neutral(s): Amy Jill Baranoff
Hearing Site: New York, NY
Award FINRA 06/03/2026