Arbitration Awards Online

Displaying 1 - 15 of 55806
Award ID Case Summary Document Type Forum Date of Awardsort ascending
13-00039
Claimant(s): Estate of Marion M. Young, Estate of Seymour R. Young, The Young Family Trust
Claimant Representative(s): Ford C. Ladd
Respondent(s): Christopher Cunningham, Wells Fargo Advisors, LLC, Fulcrum Securities, LLC
Respondent Representative(s): Andrew R. Park, Christopher Matthew Cunningham, William P. Behrens
Neutral(s): David Paul Clark, Carl William Noller, Patricia H. Latham
Hearing Site: Washington, DC
Award FINRA 06/19/2018
18-00249
Claimant(s): Morgan Stanley
Claimant Representative(s): Michael D Bressan
Respondent(s): Daniel Abel
Respondent Representative(s): Ronald Angerer
Neutral(s): Ken Ziesenheim, Cecelia Dianne Jefferson, Bryan Robert Rendzio
Hearing Site: Jacksonville, FL
Award FINRA 06/19/2018
17-03107
Claimant(s): Daniel Dodgen
Claimant Representative(s): Patrick R. Mahoney
Respondent(s): AXA Advisors, LLC
Respondent Representative(s): Pamela Rosado
Neutral(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
Award FINRA 06/19/2018
16-03033
Claimant(s): Jeffrey Lubore, Jill Lubore, Lawson, Long & Evans LP
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Representative(s): Andrew Gelfand
Neutral(s): Langfred W. White, Mimi B. Osiason, Theodore Haynes
Hearing Site: Nashville, TN
Award FINRA 06/19/2018
17-02613
Claimant(s): Alice Irwin, Charles Irwin
Claimant Representative(s): Alice Louise Irwin, Charles Dail Irwin
Respondent(s): Cambridge Investment Research, Inc., Denver Nelson
Respondent Representative(s): Andrew J. Dorman, Gary Saretsky
Neutral(s): John F. Burns, Lynn Hirschfeld Brahin, Christy K. Radigan
Hearing Site: Columbus, OH
Award FINRA 06/18/2018
17-02345
Claimant(s): Richard Walsh
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Trident Partners Ltd.
Respondent Representative(s): Eric J. Sussman
Neutral(s): Brett W. Olander
Hearing Site: Minneapolis, MN
Award FINRA 06/18/2018
17-02071
Claimant(s): Daniel Gallagher, Theresa Gallagher
Claimant Representative(s): David Neuman
Respondent(s): Ameritas Investment Corp.
Respondent Representative(s): Jamie B. Palfai
Neutral(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Award FINRA 06/18/2018
17-02932
Claimant(s): Mark Kolta
Claimant Representative(s): Tosh D Grebenik
Respondent(s): National Securities Corporation
Respondent Representative(s): Fred N. Knopf
Neutral(s): Veronica Ann Williams
Hearing Site: New York, NY
Award FINRA 06/15/2018
17-01968
Claimant(s): Zane Piston
Claimant Representative(s): John A. Gallagher
Respondent(s): Transamerica Capital, Inc.
Respondent Representative(s): Katherine C. Donlon
Neutral(s): Anthony B. Petrelli, Steven Meyrich, Baldwin Ranson
Hearing Site: Denver, CO
Award FINRA 06/15/2018
17-02798
Claimant(s): David Levine
Claimant Representative(s): David I. Hantman
Respondent(s): Ameriprise Financial Services, Inc., UBS Financial Services Inc.
Respondent Representative(s): Craig A. Vollono, Howard M. Klausmeier
Neutral(s): Douglas Earl McLaren
Hearing Site: Washington, DC
Award FINRA 06/15/2018
18-00734
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Representative(s): Todd Ratner
Respondent(s): Whitney Stewart
Respondent Representative(s): Whitney W Stewart
Neutral(s): James R. McGuone
Hearing Site: Atlanta, GA
Award FINRA 06/15/2018
17-01018
Claimant(s): Judith Craig
Claimant Representative(s): Theodor Swansen
Respondent(s): David McDonald, J.J.B. Hilliard, W.L. Lyons, LLC, Mark Kregor
Respondent Representative(s): Julie Wilson Portera
Neutral(s): John J. Jordan, Steven T. Stern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
Award FINRA 06/15/2018
16-03105
Claimant(s): Deborah Gartner
Claimant Representative(s): Philip J. Snyderburn
Respondent(s): Aaron Ray, Vanguard Capital
Respondent Representative(s): Aaron Christopher Ray, Jeffrey S. Kob
Neutral(s): Thomas Joseph Atkinson, Jack A. Helms, Alan E. Linden
Hearing Site: Orlando, FL
Award FINRA 06/14/2018
17-02248
Claimant(s): Michael Pohlod
Claimant Representative(s): Owen Harnett
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Lee Hornberger
Hearing Site: Detroit, MI
Award FINRA 06/14/2018
15-03467
Claimant(s): James Schiller, Jean Schiller
Claimant Representative(s): Terrence Polich
Respondent(s): Morgan Stanley, Keith Bryan, Robert Frank
Respondent Representative(s): Jeremy S. Winer, Stephen L. Morgan
Neutral(s): P. J. Boylan, Susanne J. Hollander, Michael Jay Buffoni
Hearing Site: Milwaukee, WI
Award FINRA 06/14/2018

Pages