Arbitration Awards Online

Displaying 1 - 15 of 57366
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-03439
Claimant(s): James Steele
Claimant Representative(s): Kevin T. Hoffman
Respondent(s): Morgan Stanley
Respondent Representative(s): Alejandro Schwed
Neutral(s): Cynthia A. DiMarco, Mark J. Russell, Brian John Gallagher
Hearing Site: New York, NY
Award FINRA 06/14/2019
19-00081
Claimant(s): Levi Rachmanov
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Phx Financial, Inc.
Respondent Representative(s): Daniel Otoya
Neutral(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
Award FINRA 06/14/2019
18-03538
Claimant(s): Christopher Facka
Claimant Representative(s): David A. Weintraub
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
Award FINRA 06/14/2019
19-00255
Claimant(s): Christopher Bonnevier
Claimant Representative(s): Christopher J. Bonnevier
Respondent(s): Robinhood Securities, LLC
Respondent Representative(s): Archit Shah
Neutral(s): Brian Michael Kane
Hearing Site: Jacksonville, FL
Award FINRA 06/14/2019
18-02676
Claimant(s): Nathaniel Barnhart
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Gregory M. Scanlon
Neutral(s): Larry Edmonson
Hearing Site: Phoenix, AZ
Award FINRA 06/13/2019
18-03458
Claimant(s): Robert Robbins
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Advisors Financial Network, Citigroup Global Markets, Inc.
Respondent Representative(s): David I. Hantman, Nuviah Shirazi
Neutral(s): Robert S. Hark
Hearing Site: Manchester, NH
Award FINRA 06/13/2019
19-00213
Claimant(s): David James
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Eagle Gate Securities, Inc.
Respondent Representative(s): Corporate Officer
Neutral(s): Marc Kalish
Hearing Site: Salt Lake City, UT
Award FINRA 06/13/2019
18-03041
Claimant(s): Joseph Schofield
Claimant Representative(s): Jennifer A. Lesny Fleming
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Brandy Pikus
Neutral(s): Maurice M. Feller
Hearing Site: Columbia, SC
Award FINRA 06/13/2019
18-02066
Claimant(s): WIilliam Biggart
Claimant Representative(s): Elliot Felig
Respondent(s): Cantor Fitzgerald & Co.
Respondent Representative(s): David A. Paul
Neutral(s): Stephen J. Storen, Charles F. Titterton, Ronald Harris Kisner
Hearing Site: New York, NY
Award FINRA 06/13/2019
19-00549
Claimant(s): William Kearney
Claimant Representative(s): David I. Hantman
Respondent(s): Wedbush Securities Inc.
Respondent Representative(s): Matthew D. Klafter
Neutral(s): Samuel H. Chorches
Hearing Site: Manchester, NH
Award FINRA 06/13/2019
18-00437
Claimant(s): Cynthia Beller
Claimant Representative(s): James Robert Krause
Respondent(s): Allyn Donaubauer, Raymond, James & Associates, Inc.
Respondent Representative(s): Linda Broocks
Neutral(s): Louis J. Weber, Lawrence Frederick Ranallo, Richard Thomas Huston
Hearing Site: Dallas, TX
Award FINRA 06/13/2019
19-00246
Claimant(s): U.S. Bancorp Investments, Inc.
Claimant Representative(s): John Ellis
Respondent(s): Jacob Williams
Respondent Representative(s): Jacob Samuel Williams
Neutral(s): George King
Hearing Site: San Francisco, CA
Award FINRA 06/13/2019
17-01244
Claimant(s): Sandra Calderon, Bluebird Corporation
Claimant Representative(s): Gregg Breitbart, Osvaldo Carlo Linares
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Randi P. Spallina, Roberto C. Quinones
Neutral(s): Mary E. Woytek, Allan R. Lazor, Stephen Louis Wright
Hearing Site: San Juan, PR
Award FINRA 06/12/2019
18-04299
Claimant(s): Robert Craig
Claimant Representative(s): Howard B. Levi
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Michael A. O'Connor
Neutral(s): Robert E. Anderson, Kimberly C. Lawrence, Bertrand Charles Sellier
Hearing Site: New York, NY
Award FINRA 06/12/2019
18-04248
Claimant(s): Yatin Sampat
Claimant Representative(s): Yatin Sampat
Respondent(s): Barclays Capital Inc., optionsXpress, Inc.
Respondent Representative(s): David G. Russell, Joseph L. Siders
Neutral(s): Susan C. Lushing, Marguerite B. Filson, Keely D. Parr
Hearing Site: New York, NY
Award FINRA 06/12/2019

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