Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
15-01248
Claimant(s): Ronald Drake
Claimant Representative(s): Hilton Wiener
Respondent(s): Anthony Salamone, Bruce Guarino, Glen Stifelman, Kenneth Severinsen, Kevin Sheehan Jr, Rockwell Global Capital LLC
Respondent Representative(s): Aegis J. Frumento, Anthony Patrick Salamone, Kenneth Lee Severinsen, Kevin Michael Sheehan Jr, Robert M. Bursky
Neutral(s): Grant D. Sanders
Hearing Site: Minneapolis, MN
Award FINRA 12/12/2017
17-00961
Claimant(s): Jennifer Bielfield, Jennifer A Beilfied Trust u/a/d 06/18/04
Claimant Representative(s): Jay Bielfield
Respondent(s): Andrey Ilyasov
Respondent Representative(s): Krista L. Elasser
Neutral(s): Lee Hornberger
Hearing Site: Detroit, MI
Award FINRA 12/11/2017
17-01571
Claimant(s): William Blau
Claimant Representative(s): William Daniel Blau
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Jennifer W. Persico
Neutral(s): W. William Harness
Hearing Site: Charlotte, NC
Award FINRA 12/11/2017
17-01571
Claimant(s): William Blau
Claimant Representative(s): William Daniel Blau
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Jennifer W. Persico
Neutral(s): W. William Harness
Hearing Site: Charlotte, NC
Award FINRA 12/11/2017
17-01464
Claimant(s): Joseph Bancheri, Michael Lupton
Claimant Representative(s): Scott Holcomb
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): J. Burke McCormick
Neutral(s): Joan M. Traub, Annamaria Boccia Smith, Sean F. Monahan
Hearing Site: New York, NY
Award FINRA 12/11/2017
17-00873
Claimant(s): Diane Whittaker
Claimant Representative(s): Diane I. Whittaker
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Sydney H. Crowder
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
Award FINRA 12/11/2017
17-00727
Claimant(s): Richard French
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., LLC, Morgan Stanley DW Inc.
Respondent Representative(s): Leslie V. Tepper
Neutral(s): Michael E. Rohde
Hearing Site: San Diego, CA
Award FINRA 12/11/2017
17-02162
Claimant(s): Michael Kanigher
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Craig Vollono
Neutral(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
Award FINRA 12/08/2017
17-00775
Claimant(s): Barry Johnson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): G. R. Phelps & Co., Inc.
Respondent Representative(s): Corporate Office
Neutral(s): Diane Ciccone
Hearing Site: Hartford, CT
Award FINRA 12/08/2017
16-02751
Claimant(s): Katherine Felton
Claimant Representative(s): Erick T. Haman
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Brian J. Palmeri
Neutral(s): Robert L. Yeager, Ashley Lucile Belleau, Rene Guas
Hearing Site: New Orleans, LA
Award FINRA 12/08/2017
16-03509
Claimant(s): Alexander Conteh
Claimant Representative(s): Jeffrey K. Compton
Respondent(s): Cole Capital Corporation
Respondent Representative(s): Theodore J. Sawicki
Neutral(s): George L. Tindall, Carole Helfert Aragon, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
Award FINRA 12/08/2017
15-02941
Respondent(s): Louis Kittlaus, William Bringham, Kingsbury Capital, Inc.
Respondent Representative(s): James F. Carlson, Louis Karl Kittlaus, Nicholas P. Iavarone
Neutral(s): Mark E. Larson, Epaminondas Eddie Manelis, Michael J. Rappa
Hearing Site: Chicago, IL
Award FINRA 12/08/2017
17-00881
Claimant(s): Alvin Sanders
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Edward A. Walton
Neutral(s): Herbert Liberman
Hearing Site: San Diego, CA
Award FINRA 12/07/2017
17-01312
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings, LLC
Claimant Representative(s): Lauren R. Whetstone
Respondent(s): Gordon Brown
Respondent Representative(s): Gordon Kenneth Brown
Neutral(s): Will Murphy
Hearing Site: Boca Raton, FL
Award FINRA 12/06/2017
17-01117
Claimant(s): Jeremy Bardin
Claimant Representative(s): James G. Lundy
Respondent(s): Gainsco Inc., MGA Insurance Company Inc.
Respondent Representative(s): Drew Nachowiak
Neutral(s): Dineo Coleman Gary, Joseph Neal Richardson, Charles Robert Elhoff
Hearing Site: Dallas, TX
Award FINRA 12/06/2017

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