Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
16-00938
Claimant(s): James Khezrie, Joseph Khezrie, E & J Lawrence Corporation
Claimant Representative(s): Adam Gana
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Laura Carraher, Robert E. Anderson, Nancy Kramer
Hearing Site: New York, NY
Award FINRA 06/21/2017
16-03406
Claimant(s): Bryan Engebretson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Representative(s): John Geelan
Neutral(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
Award FINRA 06/21/2017
16-03384
Claimant(s): Brenda Anderson, John Anderson
Claimant Representative(s): Richard S. Frankowski
Respondent(s): Jerry McCutchen, Berthel, Fisher & Company Financial Serv, Next Financial Group, Inc.
Respondent Representative(s): Mickey B. Wright
Neutral(s): Harvey R. Linder, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
Award FINRA 06/20/2017
17-00454
Claimant(s): L. Dinea Norrell
Claimant Representative(s): L. Dinea Norrell
Respondent(s): LPL Financial LLC
Respondent Representative(s): Andrea J. Ferranti
Neutral(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
Award FINRA 06/20/2017
15-01270
Claimant(s): Sally Boyle
Claimant Representative(s): Sally J. Boyle
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Edward A. Walton
Neutral(s): Sharon L. Monroe, Catherine Stewart, John Francis Markuns
Hearing Site: Manchester, NH
Award FINRA 06/20/2017
17-00343
Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Travis McGregor
Respondent(s): Kenneth Helman
Respondent Representative(s): Kenneth Michael Helman
Neutral(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
Award FINRA 06/19/2017
17-00363
Claimant(s): Kyle Kadish
Claimant Representative(s): Kyle Thomas Kadish
Respondent(s): Provasi Capital Partners LP
Respondent Representative(s): Thomas E. Reddin
Neutral(s): Robert E. Anderson
Hearing Site: Manchester, NH
Award FINRA 06/19/2017
14-02524
Claimant(s): Rosalie Lanzisera, Rosalie A. Lanzisera, IRA
Claimant Representative(s): Joseph A. Sack
Respondent(s): Morgan Stanley
Respondent Representative(s): Alejandro Schwed
Neutral(s): Joan M. Traub, Howard L. Sobel, Doris B. Nathan
Hearing Site: New York, NY
Award FINRA 06/19/2017
15-02765
Claimant(s): Jack Paich
Claimant Representative(s): Christopher P. Mader
Respondent(s): Cory Burnell, LPL Financial LLC, BluePrint Wealth Partners, LLC, Interactive Brokers LLC
Respondent Representative(s): Edward Zusman, Jason O. Billy, Neil Baritz
Neutral(s): William Michael Samsel, Philip Aaron Tymon, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
Award FINRA 06/19/2017
15-01751
Claimant(s): Dalas Gundersen
Claimant Representative(s): John R. Garner
Respondent(s): Edward Jones
Respondent Representative(s): Julie L. Taylor
Neutral(s): Lester Friedman, Robert Sachs Mandelson, John Burritt McArthur
Hearing Site: San Francisco, CA
Award FINRA 06/19/2017
15-01979
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings, LLC
Claimant Representative(s): Patrick G. King
Respondent(s): Scott Sade
Respondent Representative(s): Peter B. King
Neutral(s): Monroe Mitchel, Mark I. Roth, John S. Leech
Hearing Site: Boca Raton, FL
Award FINRA 06/16/2017
16-00135
Claimant(s): Barclays Capital Inc.
Claimant Representative(s): V. Justin Arpey
Respondent(s): Daniel Caso
Respondent Representative(s): AiVi Nguyen
Neutral(s): Edward Joseph Boudreau, Frank Sanclemente, Mary E. Bassett
Hearing Site: Boston, MA
Award FINRA 06/15/2017
16-01469
Claimant(s): David Allen
Claimant Representative(s): David Arthur Allen
Respondent(s): Michael Clements, Avenir Financial Group
Respondent Representative(s): Michael Clements
Neutral(s): Howard J. Stiefel, Daniel Robbins, Joan Marie Chiusano
Hearing Site: New York, NY
Award FINRA 06/15/2017
15-01346
Claimant(s): Edward Hartman
Claimant Representative(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Representative(s): Justin J. DeCamp
Neutral(s): Oliver Wayne Williams, Edward W. Morris, Ronald J. Colombo
Hearing Site: New York, NY
Award FINRA 06/15/2017
16-00265
Claimant(s): Gesang Verein Harmonia Inc.
Claimant Representative(s): David P. Meyer
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Gavin F. Quill
Neutral(s): Elliot B. Platt, Laura Marini Davis, Kattina V. Barsik
Hearing Site: Philadelphia, PA
Award FINRA 06/15/2017

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