Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
15-01377
Claimant(s): Richard Arzaga
Claimant Representative(s): Daren A. Luma
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Craig A. Vollono
Neutral(s): Howard D. Jacob, Keely D. Parr, Harold Glenn Stafford
Hearing Site: New York, NY
Award FINRA 07/22/2016
15-01472
Claimant(s): Raymond, James & Associates, Inc.
Claimant Representative(s): Jordan D. Maglich
Respondent(s): Gregory Rothery
Respondent Representative(s): Scott Matasar
Neutral(s): Stuart Sinai, Mimi B. Osiason, Kenneth M. Jackson
Hearing Site: Nashville, TN
Award FINRA 07/22/2016
15-01497
Claimant(s): Leo and Janet Huesman
Claimant Representative(s): T. Lawrence Hicks
Respondent(s): William Nagy, Creative Financial Designs, Inc.
Respondent Representative(s): Chris G. Lazarini
Neutral(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
Award FINRA 07/21/2016
15-01305
Claimant(s): Roy Coppedge
Claimant Representative(s): Elliot Felig
Respondent(s): Jeffrey Miller, Jeffrey Tabak, Miller Tabak & Co., LLC
Respondent Representative(s): Thomas Decea
Neutral(s): Martin Jay Siegel, James J. Fishman, Betty Chen
Hearing Site: New York, NY
Award FINRA 07/21/2016
15-02333
Claimant(s): Betty Johnson
Claimant Representative(s): Betty L. Johnson
Respondent(s): Transamerica Financial Advisors, Inc
Respondent Representative(s): Susan D. Duff
Neutral(s): Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
Award FINRA 07/21/2016
14-00467
Claimant(s): Bruce Botts, Lynne Botts
Claimant Representative(s): Bruce Botts, Lynne Botts
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Deirdre C. Wolff
Neutral(s): Bill Swinford, Jeffrey M. Bain, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
Award FINRA 07/20/2016
15-00888
Claimant(s): Ranjit Singh, Kingsboro, LLC
Claimant Representative(s): Kevin Galbraith
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Representative(s): Vincent Louwagie
Neutral(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss
Hearing Site: Kansas City, MO
Award FINRA 07/19/2016
15-00919
Claimant(s): Darryl Smith
Claimant Representative(s): Jonathan Sack
Respondent(s): RBS Securities Inc.
Respondent Representative(s): Allan S. Bloom
Neutral(s): Joseph N. Stineman, Ronald Harris Kisner, Robert Elliot Harrison
Hearing Site: New York, NY
Award FINRA 07/19/2016
16-00093
Claimant(s): Kennedy Gisege
Claimant Representative(s): Kennedy Gisege
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Brandy Pikus
Neutral(s): Brett W. Olander
Hearing Site: Minneapolis, MN
Award FINRA 07/19/2016
14-02730
Claimant(s): Melanie Mackin Ledesma, Estate of Roberto Ledesma
Claimant Representative(s): Francisco Pujol, Harold D. Vicente-Colon
Respondent(s): Popular Securities, LLC
Respondent Representative(s): Alan M. Wolper
Neutral(s): Cindy L. Anderson, Brian James Tagtmeier, Javier Miguel Uribe
Hearing Site: San Juan, PR
Award FINRA 07/19/2016
15-00688
Claimant(s): Michael Murphy
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Renos Gordos
Respondent Representative(s): Renos Gordos
Neutral(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
Award FINRA 07/19/2016
16-00351
Claimant(s): Gene White
Claimant Representative(s): Jennifer Tarr
Respondent(s): Barbara Desiderio, Brian Hagerman, Niaz Elmazi, Richard Bohack
Respondent Representative(s): Barbara Lucille Desiderio, Brian Joseph Hagerman, Niaz Elmazi, Richard Edward Bohack
Neutral(s): Arthur F. Dewsberry
Hearing Site: Omaha, NE
Award FINRA 07/19/2016
15-01757
Claimant(s): John Long
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Deirdre C. Wolff
Neutral(s): Keith Roberts
Hearing Site: New York, NY
Award FINRA 07/18/2016
14-02800
Claimant(s): Mauris Thompson
Claimant Representative(s): Yawanna McDonald
Respondent(s): Morgan Keegan & Company, Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Daniel T. Hull, Robert Gerald Boliek
Hearing Site: Birmingham, AL
Award FINRA 07/18/2016
15-01664
Claimant(s): Tommy Ayala-Rivera
Claimant Representative(s): Tommy Ayala-Rivera
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Steven A. Siegel
Neutral(s): Gregory D. Hoffmann, Donald N. Malawsky, Gary E. Marcus
Hearing Site: Tampa, FL
Award FINRA 07/18/2016

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