Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
17-00321
Claimant(s): Melissa Dano
Claimant Representative(s): Melissa Dano
Respondent(s): SunTrust Investment Services, Inc.
Respondent Representative(s): Josef Y. Rosen
Neutral(s): James P. Kinkade, James C. Hoover, John F. Allgood
Hearing Site: Atlanta, GA
Award FINRA 10/20/2017
17-00743
Claimant(s): Frank Carrasco
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): W. Preston Martin
Neutral(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
Award FINRA 10/20/2017
17-00743
Claimant(s): Frank Carrasco
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): W. Preston Martin
Neutral(s): Mollie Wagner Neal
Hearing Site: Atlanta, GA
Award FINRA 10/20/2017
15-02100
Claimant(s): Folashade Ojediran
Claimant Representative(s): Folashade Ojediran
Respondent(s): Edward Rivadeneira, TD Ameritrade, Inc.
Respondent Representative(s): John Stewart
Neutral(s): Elizabeth Gilbert, Howard J. Stiefel, Louis P. Wagman
Hearing Site: New York, NY
Award FINRA 10/20/2017
17-01696
Claimant(s): Charlene K. Bylsma
Claimant Representative(s): Bill Bylsma
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Sydney Crowder
Neutral(s): Lee Hornberger
Hearing Site: Detroit, MI
Award FINRA 10/20/2017
16-03301
Claimant(s): Charles Koontz
Claimant Representative(s): Clinton Barkdoll
Respondent(s): Bernice Schick, David Holman, Don Coldsmith, Nelson Hoachlander, Edward Jones, Randall Koontz
Respondent Representative(s): Alexandra M. Sipe, Bernice Schick, Daniel J. Donovan, Nelson L. Hoachlander
Neutral(s): John H Adair, Laura A. Kaster, Thomas James Hirsch
Hearing Site: Baltimore, MD
Award FINRA 10/20/2017
17-00930
Claimant(s): Ginji Wang
Claimant Representative(s): Grant M. Lally
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Kevin H. Lewis
Neutral(s): Francis Carling
Hearing Site: New York, NY
Award FINRA 10/19/2017
16-03009
Claimant(s): Elizabeth Gallucci
Claimant Representative(s): Dennis Boyle
Respondent(s): Frank Kelly, HD Vest Investment Services
Respondent Representative(s): Rob Moses
Neutral(s): Gordon M. Wase
Hearing Site: Baltimore, MD
Award FINRA 10/18/2017
17-00442
Claimant(s): James Bradley
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Voya Financial Partners, LLC
Respondent Representative(s): Michelle Rosenberg
Neutral(s): Samuel H. Chorches
Hearing Site: Augusta, ME
Award FINRA 10/18/2017
16-02149
Claimant(s): John Yannick
Claimant Representative(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Rima Hartman
Neutral(s): Stuart K. Furman
Hearing Site: Orlando, FL
Award FINRA 10/17/2017
17-00579
Claimant(s): Nancy Mellon
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Roger W. Van Deusen
Hearing Site: Tampa, FL
Award FINRA 10/17/2017
17-00195
Claimant(s): UBS Financial Services Inc., UBS Credit Corporation
Claimant Representative(s): James L. Komie
Respondent(s): David Fagenson
Respondent Representative(s): David Howard Fagenson
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
Award FINRA 10/17/2017
17-00040
Claimant(s): Mark Soukup
Claimant Representative(s): Christopher P. Litterio
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): David I. Hantman
Neutral(s): Robert J. Ambrogi
Hearing Site: Boston, MA
Award FINRA 10/16/2017
17-00742
Claimant(s): David Ciccone
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Matthew Stephen Duchesne
Hearing Site: Washington, DC
Award FINRA 10/16/2017
16-02235
Claimant(s): Helen Luca, Robert McCluskey
Claimant Representative(s): Eric J. Sussman
Respondent(s): Christine Mallul, David A. Noyes & Company
Respondent Representative(s): Christine Catherine Mallul, Robert L. Cram
Neutral(s): Michael S. Matek, Leonard Arthur Nelson, Bradley Howard Wulfsohn
Hearing Site: Chicago, IL
Award FINRA 10/16/2017

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