Arbitration Awards Online

Displaying 1 - 15 of 56015
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-01455
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings, LLC
Claimant Representative(s): Travis R. Chapin
Respondent(s): Jorge Sarria
Respondent Representative(s): Jorge J. Sarria
Neutral(s): Steven Gerard Goerke
Hearing Site: Miami, FL
Award FINRA 08/14/2018
18-00725
Claimant(s): Kelly Fluharty
Claimant Representative(s): Kelly Fluharty
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Susan M. Thevenet
Hearing Site: Des Moines, IA
Award FINRA 08/13/2018
17-02465
Claimant(s): Gregory VanWinkle
Claimant Representative(s): Alan Wolper
Respondent(s): IFS Securities, Inc.
Respondent Representative(s): Alexy McKenzie
Neutral(s): Carl E. Ver Beek
Hearing Site: Indianapolis, IN
Award FINRA 08/13/2018
17-00062
Claimant(s): Guy Gannett Trust FBO Corson/Williams, Guy Gannett Trust FBO J. Gannett, et al
Claimant Representative(s): Justin Sauerwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Timothy P. Burke
Neutral(s): Richard J. Fuller, Elizabeth A. Townes, Sydney E. Blum
Hearing Site: Tampa, FL
Award FINRA 08/13/2018
18-00914
Claimant(s): Gordon Siu
Claimant Representative(s): Gordon Siu
Respondent(s): Scottrade Inc., TD Ameritrade, Inc.
Respondent Representative(s): William M. Turner
Neutral(s): Otis E. Hackett
Hearing Site: San Diego, CA
Award FINRA 08/13/2018
18-01414
Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Representative(s): Joseph A. Cialone
Respondent(s): Vicente Davila
Respondent Representative(s): Vicente Davila
Neutral(s): Daniel J. Pagnano
Hearing Site: Houston, TX
Award FINRA 08/13/2018
17-03471
Claimant(s): Michael Butt
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., UBS Financial Services Inc.
Respondent Representative(s): Ann C. McCague, Neal S. Robb
Neutral(s): Merton E. Marks
Hearing Site: Phoenix, AZ
Award FINRA 08/13/2018
18-01025
Claimant(s): Terrance Joseph
Claimant Representative(s): Terrance Joseph
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Stuart D. Roberts
Neutral(s): John F. Allgood
Hearing Site: Atlanta, GA
Award FINRA 08/13/2018
18-00375
Claimant(s): Mukund Vasa
Claimant Representative(s): Mukund L. Vasa
Respondent(s): National Financial Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: Las Vegas, NV
Award FINRA 08/13/2018
17-00360
Claimant(s): Mary Shea, Patrick Shea
Claimant Representative(s): Adam Gana
Respondent(s): Windsor Street Capital, LP
Respondent Representative(s): Compliance Officer
Neutral(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis
Hearing Site: Milwaukee, WI
Award FINRA 08/13/2018
18-00244
Claimant(s): Mykel Barnes
Claimant Representative(s): John A. Hubbard
Respondent(s): Ameriprise Financial Services, Fifth Third Securities, Inc.
Respondent Representative(s): Allan S. Rubin, Howard M. Klausmeier
Neutral(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
Award FINRA 08/10/2018
17-01291
Claimant(s): SPJST
Claimant Representative(s): Hamilton Rial
Respondent(s): D.A. Davidson & Co.
Respondent Representative(s): Elizabeth Lowery
Neutral(s): Clement Osimetha, Martin Lowy, Mark Leslie Burdette
Hearing Site: Dallas, TX
Award FINRA 08/10/2018
18-02212
Claimant(s): Eliot Simon
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Craig Vollono
Neutral(s): Thomas J. Ray
Hearing Site: St. Louis, MO
Award FINRA 08/10/2018
15-03434
Claimant(s): Ardian Hasko
Claimant Representative(s): Ardian Hasko
Respondent(s): Morgan Stanley
Respondent Representative(s): Tracy L. Gerber
Neutral(s): Steven J. Brill, Brooks White, Sophia Annmarie Rutty
Hearing Site: New York, NY
Award FINRA 08/10/2018
17-02447
Claimant(s): Ryan Hyslop
Claimant Representative(s): Owen Harnett
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Robert F. Saint-Aubin, Sally G. Williams, Kevin L. Wheeler
Hearing Site: San Diego, CA
Award FINRA 08/10/2018

Pages