Arbitration Awards Online

Displaying 1 - 15 of 57136
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-01452
Claimant(s): Alfred Bonardi
Claimant Representative(s): Joshua F. Bautz
Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co., Inc., Citigroup Global Markets, Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina
Neutral(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Award FINRA 04/19/2019
18-00330
Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust
Claimant Representative(s): Stefan Apotheker
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Anthony L. Valenzuela
Neutral(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein
Hearing Site: Boca Raton, FL
Award FINRA 04/19/2019
17-01284
Claimant(s): Vincent Kimberly Del Corso Trust
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Representative(s): Christopher M. Sacco
Neutral(s): John P. Cullem, David M. Snyder, Philip L. Manczak
Hearing Site: Tampa, FL
Award FINRA 04/18/2019
17-00157
Claimant(s): James Lloyd, Susan Lloyd
Claimant Representative(s): Elisabeth S. Gray
Respondent(s): First Kentucky Securities Corporation
Respondent Representative(s): Richard Frankowski
Neutral(s): George G. Kurschner, Steven Michael McCauley, Anthony G. Belak
Hearing Site: Louisville, KY
Award FINRA 04/18/2019
15-00734
Claimant(s): Gerald M. Butler, Jr. Family Trust, Gerald M. Butler, Jr. Marital Trust
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Representative(s): Fred N. Knopf
Neutral(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
Award FINRA 04/18/2019
18-03001
Claimant(s): David Rojas
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Isabel Torres-Sastre
Neutral(s): Seth L. Finkel
Hearing Site: San Juan, PR
Award FINRA 04/17/2019
18-01742
Claimant(s): Eduardo Brender
Claimant Representative(s): Joelle Simms
Respondent(s): Morgan Stanley
Respondent Representative(s): Christopher M. Sacco
Neutral(s): Mark C. Perry
Hearing Site: Miami, FL
Award FINRA 04/17/2019
18-01422
Claimant(s): Jimmy Suh
Claimant Representative(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Andrew M. DeLucia
Neutral(s): Richard M. Norman, David S. Harrison, Norman Michael Garland
Hearing Site: Los Angeles, CA
Award FINRA 04/17/2019
18-00095
Claimant(s): James Carey
Claimant Representative(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Marc S. Dobin
Neutral(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
Award FINRA 04/17/2019
18-01157
Claimant(s): Clifford Gelman
Claimant Representative(s): Anthony J. Harwood
Respondent(s): Thomas Borruso
Respondent Representative(s): Thomas Joseph Borruso
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
Award FINRA 04/16/2019
17-00801
Claimant(s): FSC Securities Corporation
Claimant Representative(s): Bradley Fishman
Respondent(s): Jordan Berlin
Respondent Representative(s): Christopher D. Warren
Neutral(s): Anna Lascar, Steven Gary Leventhal, Harvey E. Benjamin
Hearing Site: New York, NY
Award FINRA 04/16/2019
18-00587
Claimant(s): Christopher Lee Gebbie
Claimant Representative(s): Christopher L Gebbie
Respondent(s): Christopher Halotek, Morgan Stanley
Respondent Representative(s): Andrew Gelfand
Neutral(s): Michael J. McCormack, Philip S. Walker, Thomas M. Madden
Hearing Site: Hartford, CT
Award FINRA 04/16/2019
18-02456
Claimant(s): Matt Ward
Claimant Representative(s): Kurt T. Kalberer
Respondent(s): Euro Pacific Capital, Inc., Maxwell Capital, Inc.
Respondent Representative(s): Annette Calveri, Robert H. Decker
Neutral(s): David J. Anderson
Hearing Site: Los Angeles, CA
Award FINRA 04/16/2019
18-03775
Claimant(s): Waddell & Reed
Claimant Representative(s): Lindsay E. Wuller
Respondent(s): Duncan Sandlin
Respondent Representative(s): Duncan Tyrel Sandlin
Neutral(s): John J. Fitzpatrick
Hearing Site: Portland, OR
Award FINRA 04/16/2019
18-03173
Claimant(s): Justin Bonavitacola
Claimant Representative(s): Stefan R. Dandelles
Respondent(s): Lincoln Financial Distributors, Inc.
Respondent Representative(s): Kyle B. Osting
Neutral(s): John F. Burns
Hearing Site: Pittsburgh, PA
Award FINRA 04/15/2019

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