Arbitration Awards Online

Award ID Case Summary Document Type Regulating Body Date of Awardsort ascending
15-00845
Claimant(s): Jean Hernandez-Rosales
Claimant Representative(s): Anibal Escanellas-Rivera
Respondent(s): Santander Securities Corporation, Santander Securities LLC
Respondent Representative(s): Carlos George, Cristina S. Tamayo Perez
Neutral(s): Donald Theodore Ryce, Jaime Rosario, Hector R. Diaz-Olmo
Hearing Site: San Juan, PR
Award FINRA 06/24/2016
15-02879
Claimant(s): Matthew Sherin
Claimant Representative(s): Christian M. Sande
Respondent(s): Woodbury Financial Services, Inc., Patrick O' Leary
Respondent Representative(s): John Rock, Ronald W. Sannicandro
Neutral(s): Philip J. Glick
Hearing Site: Minneapolis, MN
Award FINRA 06/24/2016
15-02794
Claimant(s): Bernard Fuchs
Claimant Representative(s): Nicolis S. Singer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Jill M. Del Monico
Neutral(s): Joan M. Traub
Hearing Site: New York, NY
Award FINRA 06/23/2016
16-00231
Claimant(s): Richard Messina, Benchmark-Pellinore, Inc.
Claimant Representative(s): Barry Lax
Respondent(s): Adam Gordon
Respondent Representative(s): Katherine B. Harrison
Neutral(s): Roger J. Hawke, Walter Michael Mathews, William R. Serpe
Hearing Site: New York, NY
Award FINRA 06/23/2016
15-02911
Claimant(s): Michelle Roberts
Claimant Representative(s): Michelle M. Roberts
Respondent(s): Mark Otta, Monica John, RBC Capital Markets LLC, Stanley Cooper
Respondent Representative(s): Michael M. Gless
Neutral(s): Michael John Florio
Hearing Site: Los Angeles, CA
Award FINRA 06/23/2016
12-04241
Claimant(s): Sonia Romagosa
Claimant Representative(s): Sonia Romagosa
Respondent(s): Carlos Getino, Ameriprise Financial Services, Inc.
Respondent Representative(s): Matthew D. Klafter
Neutral(s): Gerald F. Corrigan, Laurent C. Vonderweidt, Joyce L. Hurley
Hearing Site: Los Angeles, CA
Award FINRA 06/22/2016
13-02639
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Kenneth O'Connor
Respondent(s): Mark Aronson
Respondent Representative(s): Thomas J. Momjian
Neutral(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
Award FINRA 06/22/2016
15-00097
Claimant(s): John McNicholas, Natalie Illig McNicholas
Claimant Representative(s): Justin Sauerwald
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Jeffrey L. Friedman
Neutral(s): Seth L. Finkel, Gerald Silverman, Glenn Franklin Fuller
Hearing Site: Miami, FL
Award FINRA 06/22/2016
15-02570
Claimant(s): Thaddeus Kabat
Claimant Representative(s): Jennifer Tarr
Respondent(s): Arthur Coffey
Respondent Representative(s): Robert M. Bursky
Neutral(s): John J. Kenny
Hearing Site: Boston, MA
Award FINRA 06/22/2016
15-00440
Claimant(s): James McDevitt
Claimant Representative(s): James B. McDevitt
Respondent(s): PNC Investments
Respondent Representative(s): Gary J. Lieberman
Neutral(s): Rochelle K. Kaplan, Timothy Mark Jayne, John B. Taulane
Hearing Site: Philadelphia, PA
Award FINRA 06/21/2016
15-02168
Claimant(s): Shane Grimaldi
Claimant Representative(s): Jonathan Sack
Respondent(s): MBSC Securities Corporation
Respondent Representative(s): Kenneth Kirschner
Neutral(s): Cindy B. Eisenberg, Abigail J. Pessen, James Vincent Poma
Hearing Site: New York, NY
Award FINRA 06/21/2016
15-01282
Claimant(s): Jianhua Lin
Claimant Representative(s): Jianhua Lin
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Ivy Okoniewski
Neutral(s): William W. Haskell
Hearing Site: San Francisco, CA
Award FINRA 06/21/2016
13-01182
Claimant(s): Brett Bennett, John Meekin, Philip Hobley, Richard Wayne, Christopher Testa IRA
Claimant Representative(s): Todd A. Zuckerbrod
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Representative(s): Anthony C. Varbero, Maria Cummings
Neutral(s): Henry G. Plaster, Yvette C. Hatfield, Heidi Markovitz
Hearing Site: Washington, DC
Award FINRA 06/20/2016
16-00136
Claimant(s): Wells Fargo Advisors, LLC
Claimant Representative(s): Sara Soto
Respondent(s): Jay Sutherland
Respondent Representative(s): Jay Steven Sutherland
Neutral(s): Jack A. Helms
Hearing Site: Orlando, FL
Award FINRA 06/20/2016
13-00303
Claimant(s): Jerzy Mendelka, JM Property SP Z.O.O. SP K, NDV Investment Company
Claimant Representative(s): Jerzy Mendelka
Respondent(s): Penson Financial Services, Inc.
Respondent Representative(s): Virginia C. Palitz
Neutral(s): William G. Binckes, Camille S. Cooper, Benjamin D. Krause
Hearing Site: New York, NY
Award FINRA 06/20/2016

Pages