Arbitration Awards Online

Displaying 1 - 15 of 55591
Award ID Case Summary Document Type Forum Date of Awardsort ascending
17-00192
Claimant(s): Matthew Proman
Claimant Representative(s): Robert Miller
Respondent(s): Byron Roth, David Farina, Jared Schramm, Roth Capital Partners, LLC
Respondent Representative(s): John R. Loftus
Neutral(s): Fred S. Pieroni, Richard Gee, Walter Arthur Saurack
Hearing Site: New York, NY
Award FINRA 04/24/2018
17-02369
Claimant(s): Thomas J. Swiston IRA, Thomas and Jane Swiston JT TEN
Claimant Representative(s): Thomas J. Swiston
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Amanda Helm Wright
Neutral(s): Louis H. Miron
Hearing Site: Newark, NJ
Award FINRA 04/23/2018
16-01831
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Michael S. Taaffe
Respondent(s): William Barker
Respondent Representative(s): Philip J. Snyderburn
Neutral(s): Kenneth J. Bennett, John Berryman, Amanda M. Cole
Hearing Site: Jacksonville, FL
Award FINRA 04/23/2018
16-01831
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Michael S. Taaffe
Respondent(s): William Barker
Respondent Representative(s): Philip J. Snyderburn
Neutral(s): Kenneth J. Bennett, John Berryman, Amanda M. Cole
Hearing Site: Jacksonville, FL
Award FINRA 04/23/2018
14-02693
Claimant(s): Mark Pogue
Claimant Representative(s): Steven D. Toskes
Respondent(s): Morgan Stanley
Respondent Representative(s): Richard C. Szuch
Neutral(s): William E. Hartsfield, Jeff Abrams, Russell Phillips Gandy
Hearing Site: Dallas, TX
Award FINRA 04/23/2018
16-03407
Claimant(s): Thomas Calder
Claimant Representative(s): Thomas B. Calder
Respondent(s): Financial West Group
Respondent Representative(s): Edward Zusman
Neutral(s): Sandra L. Malek, Elliott David Finkel, Michael Craig Ditty
Hearing Site: Los Angeles, CA
Award FINRA 04/23/2018
17-02753
Claimant(s): Aishka Lugo, Frank Carrasco
Claimant Representative(s): Jacqueline R. Meyers
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Stuart Rebish
Neutral(s): Paul S. Biederman
Hearing Site: New York, NY
Award FINRA 04/20/2018
17-03482
Claimant(s): Robert Ferreira
Claimant Representative(s): Robert E. Ferreira
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Kevin H. Lewis
Neutral(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
Award FINRA 04/20/2018
17-01958
Claimant(s): Morgan Stanley
Claimant Representative(s): Douglas W. Hyman
Respondent(s): Barry Connell
Respondent Representative(s): Barry Franklin Connell
Neutral(s): James M. Baumann, Efren Cleofe, Joseph H. Cerame
Hearing Site: Newark, NJ
Award FINRA 04/19/2018
17-01008
Claimant(s): Cat Trail Capital LLC
Claimant Representative(s): Ira Belsky
Respondent(s): Mark Martino, Axiom Capital Management, Inc.
Respondent Representative(s): Mark J. Hyland
Neutral(s): Paul Smith Besson, Charles W. Danis, James Rosenblum
Hearing Site: Hartford, CT
Award FINRA 04/19/2018
17-02555
Claimant(s): Catherine Duvic, Donald Guinee, Isabel Bannon, Laura Sporl-Currens
Claimant Representative(s): Al Van Kampen
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
Award FINRA 04/19/2018
17-02535
Claimant(s): Mitchell Horst
Claimant Representative(s): Michael Bessette
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Judy Louie
Neutral(s): Michael John Florio
Hearing Site: Las Vegas, NV
Award FINRA 04/19/2018
17-02565
Claimant(s): Gary Barnbaum
Claimant Representative(s): Gary M. Barnbaum
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Scott E. Rahn
Neutral(s): Edward A. Trabin
Hearing Site: Los Angeles, CA
Award FINRA 04/19/2018
17-01608
Claimant(s): John A. Pacifico Roth IRA
Claimant Representative(s): John Pacifico
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith Hoffman
Neutral(s): Robert E. Anderson
Hearing Site: New York, NY
Award FINRA 04/19/2018
16-03482
Claimant(s): Mark Comyns
Claimant Representative(s): Eric C. Milby
Respondent(s): David Fitzgerald
Respondent Representative(s): Joshua Horn
Neutral(s): Thomas Benjamin Salzer, Adam Bronstein, Mark H. Stein
Hearing Site: Philadelphia, PA
Award FINRA 04/19/2018

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