Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
16-01719
Claimant(s): Angeles Gonzalez, Eduardo Molinari, EMAS S.E., EMCO Construction, Eduardo Molinari & Associates, WARG, INC.
Claimant Representative(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Guillermo J. Bobonis, Matthew E. Wolper
Neutral(s): James Edward Seale, Donald Ervin Cope, Bernard Travis Holmes
Hearing Site: San Juan, PR
Award FINRA 08/17/2017
16-00026
Claimant(s): David Slagter, William Davis
Claimant Representative(s): James A. McGurk
Respondent(s): Richard Babjak, World Equity Group, Inc.
Respondent Representative(s): Matthew C. Boba
Neutral(s): John E. Parkes, Irving S. Capitel, Thomas Michael Genovese
Hearing Site: Chicago, IL
Award FINRA 08/17/2017
17-00865
Claimant(s): Howard Mirvis
Claimant Representative(s): Dana Sirkis Gloor
Respondent(s): Legg Mason Investor Services, LLC
Respondent Representative(s): Gretchen Klebasko
Neutral(s): Vicky L. Orem
Hearing Site: Baltimore, MD
Award FINRA 08/17/2017
17-00394
Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Travis McGregor
Respondent(s): Robert O'Herlihy
Respondent Representative(s): Robert Frances O'Herlihy
Neutral(s): Catherine Stewart
Hearing Site: Newark, NJ
Award FINRA 08/17/2017
16-01243
Claimant(s): Kirsten Green, Kirsten H. Green IRA
Claimant Representative(s): D. Daxton White
Respondent(s): Robert Star, Edi Financial, Inc.
Respondent Representative(s): Kevin Galbraith, Martin Prinz
Neutral(s): Walter J. Wylie, Daniel Lee Tedrick, Janice Helsley Blach
Hearing Site: Columbia, SC
Award FINRA 08/17/2017
16-03084
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Bruce Lewitas
Respondent(s): Lisa Schesso
Respondent Representative(s): Lisa Kay Schesso
Neutral(s): William M. Getzoff
Hearing Site: Minneapolis, MN
Award FINRA 08/17/2017
16-03723
Claimant(s): Ricardo Latta
Claimant Representative(s): Debra A. Jenks
Respondent(s): Kovack Securities Inc.
Respondent Representative(s): Amy Towle
Neutral(s): Howard N. Kahn, Gary M. Landau, David Rich
Hearing Site: Boca Raton, FL
Award FINRA 08/16/2017
16-01277
Claimant(s): R. B. Corbin, Jr. Trust
Claimant Representative(s): Richard B. Corbin
Respondent(s): Wells Fargo Advisors, LLC, Maiya Furgason
Respondent Representative(s): Todd Ratner
Neutral(s): Steven R. Rolnick, James R. Collins, Thomas Matthew Madden
Hearing Site: Providence, RI
Award FINRA 08/16/2017
16-00695
Claimant(s): Brenda Phetteplace, Thomas Trout
Claimant Representative(s): D. Daxton White
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
Award FINRA 08/16/2017
16-03593
Claimant(s): Douglas Bielefeldt
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Representative(s): Elizabeth H. Lindh
Neutral(s): Jeffrey M. Allen
Hearing Site: Portland, OR
Award FINRA 08/16/2017
12-02514
Claimant(s): Denise Solis, Denise F. Solis, Trustee/Rev. Trust
Claimant Representative(s): Brian D. Miller, Tucker H. Byrd
Respondent(s): Alyn Towne, Sterling Enterprises Group, Inc.
Respondent Representative(s): Alyn Lee Towne
Neutral(s): Jane L. Lawless, Stuart K. Furman
Hearing Site: Orlando, FL
Award FINRA 08/16/2017
17-00306
Claimant(s): David Rosenberg
Claimant Representative(s): Mark S. Gregory
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Nuviah Shirazi
Neutral(s): William G. Binckes
Hearing Site: New York, NY
Award FINRA 08/15/2017
16-00333
Claimant(s): Michael Darius, Miriam Darius
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Stuart H. Dunn, Tina E. Patterson, Eileen B. Vernon
Hearing Site: Charleston, WV
Award FINRA 08/15/2017
16-01612
Claimant(s): Patricia Bohanon
Claimant Representative(s): Steven D. Toskes
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Michael R. Gaico
Neutral(s): Jim Geiger, Lawrence W. Arness, Mark Christian Travis
Hearing Site: Louisville, KY
Award FINRA 08/15/2017
16-03445
Claimant(s): Alfred Kovacs
Claimant Representative(s): Anthony J. Borrelli
Respondent(s): Susan Beyer, Vernon Beyer, The Beyer 2014 Trust, The VEB Trust, The Vernon Beyer Descendant Trust
Respondent Representative(s): John L. Dagley
Neutral(s): Raymond C. Kerr
Hearing Site: Houston, TX
Award FINRA 08/15/2017

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