Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
16-00140
Claimant(s): James Peters
Claimant Representative(s): Hilton Wiener
Respondent(s): Cassandra Woodward, Jeffery Fanning, Marlon Cole, Liberty Partners Financial Services, LLC
Respondent Representative(s): Jeffrey A. Fanning, Executive Rep., Stephanie D. Delia
Neutral(s): G. Gale Roberson
Hearing Site: Chicago, IL
Award FINRA 08/26/2016
16-00196
Claimant(s): Christopher Peters, E*Trade Securities LLC
Claimant Representative(s): Meredith F. Hoffman
Respondent(s): Mohammad Yazdi
Respondent Representative(s): Mohammad Yazdi
Neutral(s): Paul J. Dubow, Dean J. Dietrich, Kenneth Paul Strongman
Hearing Site: San Francisco, CA
Award FINRA 08/26/2016
15-01391
Claimant(s): John Nahas
Claimant Representative(s): Cary S. Lapidus
Respondent(s): Nationwide Investment Services Corp
Respondent Representative(s): John L. Viola
Neutral(s): Richard M. Norman, Steven J. Feldman
Hearing Site: Los Angeles, CA
Award FINRA 08/26/2016
15-02683
Claimant(s): MacKenzie Realty Capital, Inc.
Claimant Representative(s): Antony Buchignani
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith Hoffman
Neutral(s): William Ziering, Gary S. DeWeese, Javier Chavez
Hearing Site: San Francisco, CA
Award FINRA 08/25/2016
15-03386
Claimant(s): Charles Schwab & Co., Inc.
Claimant Representative(s): Michael T. West
Respondent(s): Susanna Foels, Amrita Equities, LP, Ridhwan Foundation
Respondent Representative(s): Christopher T. Leach
Neutral(s): Jerome C. Zackroff, Leonard M. Goldstein, Tina Alison Davis
Hearing Site: Denver, CO
Award FINRA 08/25/2016
15-01096
Claimant(s): Camille Pisciotto
Claimant Representative(s): John E. Lawlor
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Jeffrey C. Primiano
Neutral(s): Shelley Teitelbaum, Sandra J. Mullings, Noel B. Berman
Hearing Site: New York, NY
Award FINRA 08/25/2016
15-00014
Claimant(s): Albert Febbo, Anthony Bonner, Barbara Brown, Beck Demery, Betty Markey, Bryan Solt, Carol Cutler, Charles Katko, Dana Shanbrom, David Bonner, David Wesenberg, Debi Howe, Diane Crivella, Erwin Billig, Frederick Allor, Gary Lannen, George Fetsco, Harlan Blomquist, Harold Sperlich, Jacqueline Wojas, et al.
Claimant Representative(s): Robert Wayne Pearce
Respondent(s): FSC Securities Corporation
Respondent Representative(s): Eric A. Michaels
Neutral(s): Edward M. Olson, Michael J. Meeusen, Michele Renee Zinn
Hearing Site: Detroit, MI
Award FINRA 08/24/2016
15-02660
Claimant(s): Rodney Ellis
Claimant Representative(s): James M. Douglas
Respondent(s): Rice Financial Products Company
Respondent Representative(s): Lisa-Sheri K. Torrence
Neutral(s): David C. Redford
Hearing Site: Houston, TX
Award FINRA 08/24/2016
15-01711
Claimant(s): Mark Wang
Claimant Representative(s): Mitchell H. Cobert
Respondent(s): MetLife Securities Inc.
Respondent Representative(s): Nicholas H. De Baun
Neutral(s): Ira S. Cure
Hearing Site: New York, NY
Award FINRA 08/24/2016
16-00324
Claimant(s): Helen Sylvester
Claimant Representative(s): Helen Sylvester
Respondent(s): David Lerner Associates, Inc.
Respondent Representative(s): Joseph C. Pickard
Neutral(s): John Daly
Hearing Site: New York, NY
Award FINRA 08/24/2016
15-02270
Claimant(s): Douglas McConnell
Claimant Representative(s): Jerome F. Crotty
Respondent(s): McClendon, Morrison & Partners, Inc.
Respondent Representative(s): Patrick J. Keating
Neutral(s): Frank Samuelsohn, Jonathan B. Gilbert, Martin A. Duncan
Hearing Site: Chicago, IL
Award FINRA 08/24/2016
15-02440
Claimant(s): Robert Rovner
Claimant Representative(s): Kyle M. Kulzer
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Leo G. Kogan
Neutral(s): John J. Jordan, Alan M. Schankel, Richard N. Kelmans
Hearing Site: Philadelphia, PA
Award FINRA 08/24/2016
16-01131
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Representative(s): Robert L. Herskovits
Respondent(s): Christopher Seshadri
Respondent Representative(s): Christopher Adam Seshadri
Neutral(s): Howard D. Jacob
Hearing Site: New York, NY
Award FINRA 08/24/2016
15-01086
Claimant(s): Waddell & Reed
Claimant Representative(s): Eric Martin
Respondent(s): J-Thaddeus McGaffey
Respondent Representative(s): J-Thaddeus Peter McGaffey
Neutral(s): Jack J. Mazzara, Patrick R. Sughroue, Charlene Johnson
Hearing Site: Detroit, MI
Award FINRA 08/23/2016
15-00542
Claimant(s): Arthur Miller
Claimant Representative(s): David E. Robbins
Respondent(s): Terra Capital Markets LLC
Respondent Representative(s): Christopher Seps
Neutral(s): Anna M. Fanelli
Hearing Site: New York, NY
Award FINRA 08/23/2016

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