Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
15-02708
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Gregory M. Starner
Respondent(s): Brian Docking, Donald Barry, Jill Docking, Kevin Mcwhorter, Robert W. Baird & Co. Incorporated
Respondent Representative(s): Jonathan Miller
Neutral(s): Bill M. Lamoreaux, Bruce Burditt, John R. Loss
Hearing Site: Wichita, KS
Award FINRA 01/13/2017
15-02789
Claimant(s): Jane Baum, Larry Baum
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Hantz Financial Services, Inc.
Respondent Representative(s): David Shea
Neutral(s): Jeffry M. Bauer, John F. Burns, Seth H. Barsky
Hearing Site: Detroit, MI
Award FINRA 01/13/2017
16-01556
Claimant(s): Janney Montgomery Scott LLC
Claimant Representative(s): Jill B. Clarke
Respondent(s): David Seigerman
Respondent Representative(s): David Seigerman
Neutral(s): Edward W. Morris
Hearing Site: Newark, NJ
Award FINRA 01/13/2017
16-01934
Claimant(s): Laidlaw & Company (uk) Ltd.
Claimant Representative(s): Ross D. Carmel
Respondent(s): Anthony Garcia
Respondent Representative(s): Anthony Lois Garcia
Neutral(s): Mary P. Bass
Hearing Site: New York, NY
Award FINRA 01/13/2017
16-01491
Claimant(s): Leonard Barenboim
Claimant Representative(s): Leonard Barenboim
Respondent(s): Bruce Meyers, Meyers Associates, L.P.
Respondent Representative(s): David A. Schrader
Neutral(s): Morton S. Bunis
Hearing Site: New York, NY
Award FINRA 01/12/2017
15-02522
Claimant(s): Daniel Zraly
Claimant Representative(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities, Inc.
Respondent Representative(s): Courtney S. Stieber
Neutral(s): Paul K. Barenholtz, David Serko, David John Reilly
Hearing Site: New York, NY
Award FINRA 01/12/2017
16-01859
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Representative(s): Douglas Hyman
Respondent(s): Brian Sak
Respondent Representative(s): Brian Carey Sak
Neutral(s): James A. Murphy
Hearing Site: Chicago, IL
Award FINRA 01/12/2017
16-01352
Claimant(s): Denise Weiss
Claimant Representative(s): Richard S. Frankowski
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Representative(s): Mickey B. Wright
Neutral(s): Harvey R. Linder
Hearing Site: Birmingham, AL
Award FINRA 01/12/2017
16-00950
Claimant(s): Steven Kaplan
Claimant Representative(s): Steven Todd Kaplan
Respondent(s): Dave Gillogly
Respondent Representative(s): Dave Gillogly
Neutral(s): Steven H. Vogel
Hearing Site: Chicago, IL
Award FINRA 01/12/2017
15-03089
Claimant(s): Robert Francis
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Legend Equities Corporation
Respondent Representative(s): David Smitham
Neutral(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
Award FINRA 01/12/2017
16-02290
Claimant(s): Eric Wishan
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Laurel Littman Gothelf
Hearing Site: Portland, OR
Award FINRA 01/12/2017
15-03035
Claimant(s): George Sofis, Preya Saroop, Rohit Saroop
Claimant Representative(s): David Miller
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Cameron Stout
Neutral(s): Edward Blumstein, Carol A. Schuyler, Simon Jonathan Lawrence
Hearing Site: Richmond, VA
Award FINRA 01/10/2017
16-02952
Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Representative(s): Laurie A. Perez
Respondent(s): Roger Bell
Respondent Representative(s): Roger Ericson Bell
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
Award FINRA 01/09/2017
16-00666
Claimant(s): Cynthia Strini
Claimant Representative(s): Steven G. Legum
Respondent(s): Labron Toles, Philip Dina, Silva Velez
Respondent Representative(s): Labron Manosa Toles, Philip A. Dina, Silva Alexander Velez
Neutral(s): Jane C. Carney
Hearing Site: Baltimore, MD
Award FINRA 01/09/2017
15-01932
Claimant(s): Paulomi Agashiwala
Claimant Representative(s): Samuel J. Lieberman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Giusti, Sergio Rosa
Respondent Representative(s): Regina Pepe Martorana
Neutral(s): Shelley Teitelbaum, Mary Lou McGanney, Susan Jane Harrigan
Hearing Site: New York, NY
Award FINRA 01/06/2017

Pages