Arbitration Awards Online

Displaying 1 - 15 of 57637
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-04330
Claimant(s): Roy Strong
Claimant Representative(s): Dochtor Kennedy
Respondent(s): CFD Investments, Inc.
Respondent Representative(s): Matthew Bahrenburg
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
Award FINRA 08/16/2019
18-02681
Claimant(s): Mark Gilbert
Claimant Representative(s): Stuart H. Singer
Respondent(s): Brian Lowenthal, Eileen Berman
Respondent Representative(s): Jonathan B. Butler
Neutral(s): Joseph J. Slotnik, Bruce K. Isenberg, Robert J. Buchner
Hearing Site: Boca Raton, FL
Award FINRA 08/16/2019
18-04434
Claimant(s): Chad Henry
Claimant Representative(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services, Inc., Sigma Financial Corporation
Respondent Representative(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Neutral(s): Steven H. Vogel
Hearing Site: Chicago, IL
Award FINRA 08/16/2019
18-04436
Claimant(s): Stuart Buck
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Representative(s): C. Evan Stewart
Neutral(s): Philip J. Glick
Hearing Site: Chicago, IL
Award FINRA 08/16/2019
19-00002
Claimant(s): Richard Libretti
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Representative(s): Emily A. Hayes
Neutral(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
Award FINRA 08/15/2019
19-00460
Claimant(s): Hennessee Family Trust
Claimant Representative(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, LLC, William Paynter
Respondent Representative(s): Jeffrey Rodgers
Neutral(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Award FINRA 08/15/2019
19-00384
Claimant(s): David Rojas
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Roberto Quinones-Rivera
Neutral(s): Barth Satuloff
Hearing Site: San Juan, PR
Award FINRA 08/15/2019
18-04387
Claimant(s): Brian Eagon
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Representative(s): Abigail D. Elrod, Elisabeth Kratka
Neutral(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
Award FINRA 08/15/2019
17-02705
Claimant(s): Gary Sinderbrand, Mill Lane Management, LLC
Claimant Representative(s): Jarrod J. Malone
Respondent(s): Wells Fargo Clearing Services, LLC, Steven Sinderbrand
Respondent Representative(s): Eric Wood, Erin M. Smith
Neutral(s): David S. Billet, Thomas J. Stock, John Herbert Grefe
Hearing Site: New York, NY
Award FINRA 08/15/2019
18-02207
Claimant(s): Warren Pitre
Claimant Representative(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
Award FINRA 08/15/2019
18-03108
Claimant(s): Edwin Mendez Mendez
Claimant Representative(s): Juan C. Blasini Gonzalez
Respondent(s): Santander Securities LLC
Respondent Representative(s): Paula A. Gonzalez-Montalvo
Neutral(s): Dineo Coleman Gary
Hearing Site: San Juan, PR
Award FINRA 08/15/2019
17-01724
Claimant(s): Charles Lautz, Francisco Malfavon
Claimant Representative(s): George Miller
Respondent(s): Snowden Account Services LLC, Snowden Capital Advisors LLC
Respondent Representative(s): E. David Krule
Neutral(s): George Richard Najjar, Kevin K. Forrester, Gene S. Evenskaas
Hearing Site: San Diego, CA
Award FINRA 08/15/2019
18-02144
Claimant(s): Isidro Miramontes
Claimant Representative(s): David Harrison
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Timothy L. Moore
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
Award FINRA 08/15/2019
18-03977
Claimant(s): Ting O'Connor
Claimant Representative(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Representative(s): Corporate Officer
Neutral(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
Award FINRA 08/15/2019
19-00142
Claimant(s): Sima Alefi
Claimant Representative(s): Robert L. Gonser
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Sterling N. Frost
Hearing Site: San Francisco, CA
Award FINRA 08/15/2019

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