Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
14-03186
Claimant(s): Thomas Lewis, Lewis Family Limited Partnership, LP
Claimant Representative(s): Alan Frank
Respondent(s): Goldman, Sachs and Company
Respondent Representative(s): Matthew A. White
Neutral(s): Thomas Benjamin Salzer, Richard M. Rosenbleeth, Timothy Towles Stevens
Hearing Site: Philadelphia, PA
Award FINRA 02/24/2017
16-02424
Claimant(s): Neil Canell
Claimant Representative(s): Dochtor D. Kennedy
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): William G. Binckes
Hearing Site: New York, NY
Award FINRA 02/24/2017
16-02249
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Jessica G. Klein
Respondent(s): Nancy Griffith
Respondent Representative(s): Nancy Putnam Griffith
Neutral(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
Award FINRA 02/23/2017
16-01693
Claimant(s): Kean Boucher
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): A.G. Edwards & Sons, Inc.
Respondent Representative(s): Thomas Kopshever
Neutral(s): Samuel L. McClaren, Anita Rae Shapiro, Tausha C. Riley
Hearing Site: Denver, CO
Award FINRA 02/23/2017
15-03344
Claimant(s): SunTrust Investment Services, Inc.
Claimant Representative(s): Caryn D. Shaw
Respondent(s): Justin Hendrick
Respondent Representative(s): Justin Hendrick
Neutral(s): Richard E. Lauziere, Gregory Hunter Mathews, Linda Arlene Michler
Hearing Site: Norfolk, VA
Award FINRA 02/22/2017
11-03837
Claimant(s): Estate of Jerry Castellone, Estate of Jerry Castellone 2
Claimant Representative(s): Harvey Jasper, Jonathan A. Stein
Respondent(s): Chase Investment Services Corp., Chemical Bank, JP Morgan Chase & Co., JP Morgan Chase Bank & Co., JP Morgan Chase Bank NA
Respondent Representative(s): Michael J. Charlilo
Neutral(s): Ted M. Rosen, Joan M. Traub, Peter A. Kiefer
Hearing Site: New York, NY
Award FINRA 02/22/2017
15-00109
Claimant(s): Ellie Stoller, Lee Stoller
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): D. Bruce Shine, James A. McIntosh, L. Wilford Fuqua
Hearing Site: Nashville, TN
Award FINRA 02/22/2017
16-01300
Claimant(s): Norcell McRay
Claimant Representative(s): Norcell McRay
Respondent(s): Devon Mclean, Everett Walker
Respondent Representative(s): Devon Coulin Mclean, Everett Scoville Walker
Neutral(s): Jeffrey R. Roth
Hearing Site: Miami, FL
Award FINRA 02/21/2017
16-03209
Claimant(s): JHS Capital Advisors, LLC, JHS Capital Holdings, LLC
Claimant Representative(s): Joel Ewusiak
Respondent(s): William Bendt
Respondent Representative(s): William Larry Bendt
Neutral(s): Muriel Desloovere
Hearing Site: Columbia, SC
Award FINRA 02/21/2017
16-02630
Claimant(s): Kezia Samuel
Claimant Representative(s): Jeffrey Thomas
Respondent(s): Jackson National Life Distributors LLC
Respondent Representative(s): William R. Schulz
Neutral(s): Donald P. Loyd, Samuel L. McClaren, Henry Eric Peitz
Hearing Site: Denver, CO
Award FINRA 02/21/2017
16-01607
Claimant(s): Pam Stewart
Claimant Representative(s): David Liebrader
Respondent(s): Robert Kerrigan
Respondent Representative(s): Robert Joseph Kerrigan
Neutral(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
Award FINRA 02/21/2017
16-02858
Claimant(s): Karl Pettijohn
Claimant Representative(s): Scott Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): William McC. Montgomery
Neutral(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
Award FINRA 02/21/2017
15-03075
Claimant(s): Carole Stanley, Tony Stanley
Claimant Representative(s): Russell Forkey
Respondent(s): Carmine Capone, Jason Figueroa, Paul Mante, The GMS Group, LLC
Respondent Representative(s): David W. Schmidt, Jason Lyn Figueroa
Neutral(s): Lawrence M. Green, Kimberly A. Gilmour, Toby Bartosh
Hearing Site: Boca Raton, FL
Award FINRA 02/21/2017
13-03520
Claimant(s): Luis Romero Lopez, Luis R. Romero Lopez Pledged Collateral
Claimant Representative(s): Luis J. Acevedo-Bengoechea, Samuel B. Edwards
Respondent(s): UBS Financial Services Inc., UBS Financial Services of Puerto Rico
Respondent Representative(s): Donald F. Winningham, Roberto C. Quinones-Rivera
Neutral(s): Joyce F. Glucksman, Reinaldo Royo, Robert J. Buchner
Hearing Site: San Juan, PR
Award FINRA 02/17/2017
16-00691
Claimant(s): Daniel Murphy
Claimant Representative(s): Samuel P. Mauch
Respondent(s): Michael W. Knapp 1997 Irrevocable Tust
Respondent Representative(s): Joann Knapp
Neutral(s): Gerald W. Hepp
Hearing Site: Detroit, MI
Award FINRA 02/17/2017

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