Arbitration Awards Online

Displaying 1 - 15 of 56528
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-00857
Claimant(s): Mary Carter
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Brandy Pikus Esq.
Neutral(s): John P. Cullem
Hearing Site: Jacksonville, FL
Award FINRA 12/10/2018
18-00218
Claimant(s): Mariana Smith
Claimant Representative(s): Walter J. Mathews
Respondent(s): Rafael Golan, Crystal Bay Securities Inc.
Respondent Representative(s): Cristopher S. Rapp
Neutral(s): Barth Satuloff, Les R. Campbell, Thomas Fred Meyer
Hearing Site: Boca Raton, FL
Award FINRA 12/10/2018
18-02404
Claimant(s): Robert Jones
Claimant Representative(s): Benjamin J. Biard
Respondent(s): M Holdings Securities, Inc.
Respondent Representative(s): Susan Provencher
Neutral(s): Gary M. Landau
Hearing Site: Boca Raton, FL
Award FINRA 12/10/2018
17-00606
Claimant(s): Thomas Ionta, IRA
Claimant Representative(s): Bruce D. Oakes
Respondent(s): Mid Atlantic Capital Corporation
Respondent Representative(s): Andrew Stanton
Neutral(s): Robert Bruce MacDonald, Richard Maurice Robinson, Claudia Mai Morehead
Hearing Site: Los Angeles, CA
Award FINRA 12/10/2018
18-00194
Claimant(s): Garland Homes
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Stuart K. Furman
Hearing Site: Raleigh, NC
Award FINRA 12/10/2018
18-00657
Claimant(s): Thomas Kelly
Claimant Representative(s): Michael Bessette
Respondent(s): National Securities Corporation
Respondent Representative(s): Emily A. Hayes
Neutral(s): Joseph J. Arata
Hearing Site: New York, NY
Award FINRA 12/10/2018
17-02655
Claimant(s): Douglas Modico
Claimant Representative(s): Jonathan Sack
Respondent(s): Auerbach Grayson & Company LLC
Respondent Representative(s): Ira G. Rosenstein
Neutral(s): Ann C. Northern, Doris Lindbergh, Stephen A. Weiner
Hearing Site: New York, NY
Award FINRA 12/10/2018
17-01206
Claimant(s): Ricky Vanzant
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Representative(s): Robert K. Jamieson
Neutral(s): Mary E. Woytek, James A. Hayes, James F. Major
Hearing Site: Charlotte, NC
Award FINRA 12/10/2018
17-01994
Claimant(s): Brian Kirkpatrick
Claimant Representative(s): Lawrence A. Kellogg
Respondent(s): Capital Guardian, LLC, Capital Guardian Holding, LLC
Respondent Representative(s): Justin Lowe, Sandro L. Ramos
Neutral(s): Dale H. Van Scoyk, Thomas W. Allen, Jason Allen Rosner
Hearing Site: Boca Raton, FL
Award FINRA 12/07/2018
18-02209
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Timothy N. Will
Respondent(s): Frank Bethan
Respondent Representative(s): Frank Daniel Bethan
Neutral(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
Award FINRA 12/07/2018
18-02556
Claimant(s): Raymond, James & Associates, Inc.
Claimant Representative(s): Dominique E. Heller
Respondent(s): Stephen Murray
Respondent Representative(s): Stephen Allen Murray
Neutral(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
Award FINRA 12/07/2018
18-01536
Claimant(s): Robert Gilman
Claimant Representative(s): John Stewart
Respondent(s): Morgan Stanley & Co. LLC
Respondent Representative(s): Chan Nam
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
Award FINRA 12/07/2018
18-00178
Claimant(s): Mary Mullin
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn D. Perreault
Neutral(s): Susan E. Maloney
Hearing Site: Boston, MA
Award FINRA 12/07/2018
18-02512
Claimant(s): Brian McDermott, Patricia McDermott
Claimant Representative(s): Richard S. Frankowski
Respondent(s): J.P. Morgan Securities, LLC, Wells Fargo Clearing Services, LLC, Kevin Mercer
Respondent Representative(s): Heidi E. VonderHeidi, Jeffery Rodgers, Kevin Allen Mercer
Neutral(s): Daniel Robbins
Hearing Site: New York, NY
Award FINRA 12/07/2018
18-00736
Claimant(s): John Paffendorf
Claimant Representative(s): Thomas C. Frost
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Kevin K. Forrester
Hearing Site: San Diego, CA
Award FINRA 12/07/2018

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