Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
Claimant(s): Steven Rakoff
Claimant Representative(s): Adam Gana
Respondent(s): HSBC Securities (USA) Inc.
Respondent Representative(s): Joseph C. Coates
Neutral(s): Robert J. Kheel, Madelyn A. Levy, Natalie Jennifer Bordeaux
Hearing Site: New York, NY
Award FINRA 04/27/2017
Claimant(s): Charles Schwab & Co., Inc.
Claimant Representative(s): John F. Marsh
Respondent(s): J.P. Morgan Securities, LLC, Qamil Dervishi
Respondent Representative(s): Jeffrey B. Greenspan
Neutral(s): Michael F. Jordan, Howard Z. Gopman, Steven M. Bylina
Hearing Site: Chicago, IL
Award FINRA 04/27/2017
Claimant(s): Brian Holmes, Michelle Holmes
Claimant Representative(s): Joel Levin
Respondent(s): Ralph Derose, Wunderlich Securities, Inc.
Respondent Representative(s): Mark Griffin
Neutral(s): Charles Orlove, James Dale Ellis, Ronald Edward Alexander
Hearing Site: Cleveland, OH
Award FINRA 04/26/2017
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Lisa K. Mayers
Respondent(s): James Pekelder, Joel Jacobs
Respondent Representative(s): Gail E. Boliver, Lisa K. Mayers
Neutral(s): Murray S. Levin, James S. Pittenger, Kristen Marie Blankley
Hearing Site: Omaha, NE
Award FINRA 04/26/2017
Claimant(s): John Shillingford, Mark Leyton
Claimant Representative(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Representative(s): David G. Russell
Neutral(s): Leslie Ruth Nydick, Louis P. Wagman, Mark Cuccaro
Hearing Site: New York, NY
Award FINRA 04/26/2017
Claimant(s): Richard Trust
Claimant Representative(s): Stan Schuldiner
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith Hoffman
Neutral(s): John J. Flynn, Thomas D. Reese, William J. Petzel
Hearing Site: San Francisco, CA
Award FINRA 04/26/2017
Claimant(s): Mark Zuckerman
Claimant Representative(s): Craig D. Stein
Respondent(s): Alyce Tedesco, Alyce and Francis Tedesco, Eshagh and Helen Moezinia
Respondent Representative(s): Alyce Tedesco, Eshagh Moezinia, Frank Tedesco
Neutral(s): Mark C. Perry, Robert S. Natiss, Paul J. Burkhart
Hearing Site: Boca Raton, FL
Award FINRA 04/26/2017
Claimant(s): Michael Riffice
Claimant Representative(s): William B. Fleming
Respondent(s): BGC Financial, L.P.
Respondent Representative(s): David A. Paul
Neutral(s): Thomas D. Giordano, Franklin P. Chapman, Carl A. Goldman
Hearing Site: New York, NY
Award FINRA 04/26/2017
Claimant(s): Baynes Family Trust, Jack A. and Sarah Cohen Family Trust
Claimant Representative(s): Joshua A. Waldman
Respondent(s): Daniel Levin, Oppenheimer & Co., Inc.
Respondent Representative(s): Ellen Sheridan-Cona
Neutral(s): Neil S. Jasper, Michael Joseph Desmond, DeMarlo Matine Sims
Hearing Site: Los Angeles, CA
Award FINRA 04/25/2017
Claimant(s): Steven Hedrick
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): James King, Commonwealth Financial Network
Respondent Representative(s): Robert K. Jamieson
Neutral(s): Robert H. Putnam, Michael E. Weddington
Hearing Site: Raleigh, NC
Award FINRA 04/25/2017
Claimant(s): Charles Gilbride, Dean Myerow
Claimant Representative(s): Matthew B. Henneman
Respondent(s): BB&T Securities, LLC
Respondent Representative(s): David E. Constine
Neutral(s): Edward W. Morris, Gregory James Libertiny, Sean F. Monahan
Hearing Site: Newark, NJ
Award FINRA 04/25/2017
Claimant(s): Jacqueline Wachs, Saul Wachs, Saul H. Wachs RevocableTrust
Claimant Representative(s): Marc A. Wites
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Gary M. Landau
Hearing Site: Boca Raton, FL
Award FINRA 04/25/2017
Claimant(s): Barbara Kaye, Barbara J. Kaye Revocable Living Trust
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Richard C. Szuch
Neutral(s): Richard J. Stall
Hearing Site: Las Vegas, NV
Award FINRA 04/25/2017
Claimant(s): Charles Schwab & Co., Inc.
Claimant Representative(s): Michael R. Greco
Respondent(s): Curtis Lamb
Respondent Representative(s): Clinton W. Marrs
Neutral(s): George J. Karlsven, Edward Allan Hindman, Paul A. Cash
Hearing Site: Salt Lake City, UT
Award FINRA 04/25/2017
Claimant(s): Gary Harris
Claimant Representative(s): Gary G. Harris
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Theodore R. Bynum
Neutral(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte
Hearing Site: Charlotte, NC
Award FINRA 04/24/2017