Arbitration Awards Online

Displaying 1 - 15 of 55336
Award ID Case Summary Document Type Forum Date of Awardsort ascending
16-03260
Claimant(s): Brandon Marinelli, Meagan Donahue
Claimant Representative(s): David B. Cosgrove
Respondent(s): LPL Financial LLC
Respondent Representative(s): Ronald D. Smith
Neutral(s): Michael J. McNeil, John M. Dasher, Sean Alan D'Amico
Hearing Site: Hartford, CT
Award FINRA 02/16/2018
17-00492
Claimant(s): Estate of Marianna Antoniou
Claimant Representative(s): John M O'Connor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): David J. Libowsky
Neutral(s): Clarence Smith, Sam Antar, Harvey E. Benjamin
Hearing Site: New York, NY
Award FINRA 02/16/2018
17-01467
Claimant(s): AXA Advisors, LLC, AXA Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): David Moore
Respondent Representative(s): Otto F. Feil
Neutral(s): John F. Allgood
Hearing Site: Atlanta, GA
Award FINRA 02/16/2018
16-00514
Claimant(s): Jason Wright, Lenoir Wright
Claimant Representative(s): David A. Weintraub
Respondent(s): Frank Fusco, John Smith, Jonathan Miller, Salvatore Caruso, Legend Securities, Inc.
Respondent Representative(s): Frank Phillip Fusco, John Victor Smith, Jonathan J. Miller, Salvatore Charles Caruso, Salvatore Caruso
Neutral(s): Richard W. Cutler, Ellyn S. Roth, George Bartos
Hearing Site: New York, NY
Award FINRA 02/15/2018
17-00665
Claimant(s): Jane Hoffman
Claimant Representative(s): Bradford M. Gucciardo
Respondent(s): Wells Fargo Advisors, LLC, Ronald Guertin
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
Award FINRA 02/15/2018
14-03350
Claimant(s): Marvin Powell, Shawna Powell
Claimant Representative(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Aaron Wilbanks, Randall Wilbanks, Steven Sharpe, Will Freeman, Wilbanks Securities, Inc.
Respondent Representative(s): Jeffrey R. Thomas, Russell Bean
Neutral(s): Charles G. Michaels, Steven M. Feder, Carol L. Roslund
Hearing Site: Denver, CO
Award FINRA 02/15/2018
16-01328
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Representative(s): Douglas W. Hyman
Respondent(s): James Taylor
Respondent Representative(s): James Crosby Taylor
Neutral(s): Robert A. Dean, James L. Warren, John Andrew Johnson
Hearing Site: Birmingham, AL
Award FINRA 02/15/2018
17-02515
Claimant(s): Imran Mahar
Claimant Representative(s): Imran Khan Mahar
Respondent(s): BNP Paribas Securities Corp.
Respondent Representative(s): Karen M. Carbone
Neutral(s): Edward W. Morris
Hearing Site: New York, NY
Award FINRA 02/15/2018
17-01288
Claimant(s): Michael Pierce
Claimant Representative(s): Michael Bessette
Respondent(s): Tower Square Securities, Inc.
Respondent Representative(s): Jeremy Carr
Neutral(s): Christopher M. McMurray
Hearing Site: Washington, DC
Award FINRA 02/15/2018
17-01927
Claimant(s): Michael Hanke
Claimant Representative(s): Daniel P. Dietrich
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): John P. Cullem
Hearing Site: Tampa, FL
Award FINRA 02/14/2018
16-00303
Claimant(s): Donna Hankin IRA, Lee Hankin IRA, Donna Hankin and Lee Hankin JTWROS
Claimant Representative(s): Scott L. Silver
Respondent(s): Braver Stern Securities LLC, Newport Coast Securities, Inc.
Respondent Representative(s): Nat Wasserstein, Richard Onesto
Neutral(s): Susan L. Luck, William P. Loughnane, Margaret Elizabeth Gee
Hearing Site: Charlotte, NC
Award FINRA 02/14/2018
17-02059
Claimant(s): Louis Tranquilli
Claimant Representative(s): Joel Wertman
Respondent(s): The Investment Center, Inc.
Respondent Representative(s): Douglas A. Wright
Neutral(s): Fred S. Pieroni, Paul Allan Massaro
Hearing Site: Newark, NJ
Award FINRA 02/14/2018
15-01866
Claimant(s): UBS Financial Services Inc.
Claimant Representative(s): Elizabeth H. Lindh
Respondent(s): Isidro Miramontes, Miramontes Capital, LLC
Respondent Representative(s): Anthony R. Bisconti, David Harrison
Neutral(s): Milton N. Gross, Marie Ann Stein, Mark Thomas Risner
Hearing Site: Los Angeles, CA
Award FINRA 02/13/2018
17-01667
Claimant(s): Paul Larson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities, LLC
Respondent Representative(s): Kristen Kinney
Neutral(s): Julius Z. Frager
Hearing Site: St. Louis, MO
Award FINRA 02/13/2018
17-02649
Claimant(s): Eric Seyboldt
Claimant Representative(s): Eric Seyboldt
Respondent(s): Nationwide Securities, LLC
Respondent Representative(s): Ali I. Haque
Neutral(s): Mark A. Sipper
Hearing Site: Columbus, OH
Award FINRA 02/13/2018

Pages