Arbitration Awards Online

Displaying 1 - 15 of 56251
Award ID Case Summary Document Type Forum Date of Awardsort ascending
16-03516
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): David J. Sensenig
Respondent(s): Terrence Puricelli
Respondent Representative(s): Bryan P. Cavanaugh
Neutral(s): Michael L. Lyons, Jonathan B. Gilbert, David E. Bailey
Hearing Site: St. Louis, MO
Award FINRA 10/12/2018
18-01489
Claimant(s): Rice Financial Products Company
Claimant Representative(s): Mark Cuccaro
Respondent(s): Burnham Securities
Respondent Representative(s): William Nolan Sheehan
Neutral(s): Aubrey Lees
Hearing Site: New York, NY
Award FINRA 10/12/2018
17-01671
Claimant(s): Margaret Lee, Robert Lee
Claimant Representative(s): Daniel J. Dwyer
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Joseph A. Sack
Neutral(s): Peter J. Dale, Gerard S. Marsan, Susan E. Maloney
Hearing Site: Boston, MA
Award FINRA 10/12/2018
18-02264
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Matthew P. Fischer
Respondent(s): John Nielsen
Respondent Representative(s): John C. Nielsen
Neutral(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Award FINRA 10/12/2018
17-02702
Claimant(s): Frances Keating
Claimant Representative(s): Frances Keating
Respondent(s): U.S. Bancorp Investments, Inc.
Respondent Representative(s): Douglas W. Hyman
Neutral(s): Ray J. Grzebielski, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
Award FINRA 10/11/2018
18-01065
Claimant(s): Rushdi Zalatimo
Claimant Representative(s): Dochtor Kennedy
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Representative(s): Christina Vourakis
Neutral(s): Richard W. Vallario
Hearing Site: New York, NY
Award FINRA 10/11/2018
18-02213
Claimant(s): Jeffrey Leach
Claimant Representative(s): David I. Hantman
Respondent(s): Morgan Stanley
Respondent Representative(s): Timothy B. Atkins
Neutral(s): Will Murphy
Hearing Site: Boca Raton, FL
Award FINRA 10/11/2018
15-03079
Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Brandon Riley
Respondent(s): Gabriel Block
Respondent Representative(s): Gabriel Block
Neutral(s): Richard D. Chusid, Neal D. Baker, Bryan David Glass
Hearing Site: New York, NY
Award FINRA 10/11/2018
17-02890
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Michael S. Taaffe
Respondent(s): Dorothy Powers
Respondent Representative(s): Dorothy Greppin Powers
Neutral(s): Morris S. Getzels, Edwin John Apenbrink, William Ogburn Huggins
Hearing Site: Las Vegas, NV
Award FINRA 10/11/2018
17-02890
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Michael S. Taaffe
Respondent(s): Dorothy Powers
Respondent Representative(s): Dorothy Greppin Powers
Neutral(s): Morris S. Getzels, Edwin John Apenbrink, William Ogburn Huggins
Hearing Site: Las Vegas, NV
Award FINRA 10/11/2018
16-03065
Claimant(s): Brian Chilton
Claimant Representative(s): Robert Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Representative(s): J. William Cook
Neutral(s): Richard J. Grahn, Howard N. Gorney, Jeffrey Neil Fink
Hearing Site: Boston, MA
Award FINRA 10/10/2018
16-01380
Claimant(s): Isaiah Warren, Mykiah Warren, Terrell Warren, Tyrell Warren, Frank William Warren, IV, The Estate of Frank Warren
Claimant Representative(s): Bob Wynne, James E. Shields
Respondent(s): Beatriz Cadena, Frances Moore, Morgan Keegan & Company, LLC
Respondent Representative(s): Robert J. Dressel
Neutral(s): Mary Elizabeth Skelnik, Daniel Patrick Hurley, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
Award FINRA 10/10/2018
18-01757
Claimant(s): Edgardo Ferrer
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Laura T. Ruiz Rivera
Neutral(s): Steven Gerard Goerke
Hearing Site: San Juan, PR
Award FINRA 10/10/2018
18-01377
Claimant(s): Waddell & Reed
Claimant Representative(s): Lindsay Wuller
Respondent(s): Ruben Rodriguez
Respondent Representative(s): Ruben Rodriguez
Neutral(s): Edith N. Dinneen
Hearing Site: Jacksonville, FL
Award FINRA 10/10/2018
17-01666
Claimant(s): J. Thomas Netzer
Claimant Representative(s): Joseph D. Sheppard
Respondent(s): Moloney Securities Asset Management, LLC, Moloney Securities Co., Inc.
Respondent Representative(s): Matthew D. Turner
Neutral(s): Leonard Arthur Nelson, Lawrence R. Rute, Bryan E. Mouber
Hearing Site: Kansas City, MO
Award FINRA 10/10/2018

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