Arbitration Awards Online

Award ID Case Summary Document Type Forum Date of Awardsort ascending
15-00294
Claimant(s): Alba Pfeffer
Claimant Representative(s): Alba T. Pfeffer
Respondent(s): Andre Mirkine, Wells Fargo Advisors, LLC
Respondent Representative(s): Demian J. Betz
Neutral(s): Peter A. Goldman, Leona Beane, Tracey Scott Bernstein
Hearing Site: New York, NY
Award FINRA 09/30/2016
16-01017
Claimant(s): Daniel Ross
Claimant Representative(s): Scott L. Silver
Respondent(s): David Lerner Associates, Inc., Stefans Zaffuto
Respondent Representative(s): Joseph C. Pickard, Stefans Joseph Zaffuto
Neutral(s): Anthony Michael Sabino
Hearing Site: New York, NY
Award FINRA 09/30/2016
16-01745
Claimant(s): Primary Capital, LLC
Claimant Representative(s): Ross D. Carmel
Respondent(s): Joseph Messina
Respondent Representative(s): Joseph Gasper Messina
Neutral(s): Gregory J. Getz
Hearing Site: New York, NY
Award FINRA 09/30/2016
16-00520
Claimant(s): Daniel Conidi
Claimant Representative(s): Ronald M. Amato
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Simeon Schopf
Neutral(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
Award FINRA 09/30/2016
16-00201
Claimant(s): Robert Gray
Claimant Representative(s): Jennifer Tarr
Respondent(s): Isreal Torres, John Riccardi, Meyers Associates, L.P.
Respondent Representative(s): David A. Schrader, Isreal Wilfredo Torres, John F. Riccardi
Neutral(s): Jill I. Gross
Hearing Site: Albany, NY
Award FINRA 09/30/2016
16-01541
Claimant(s): Raymond, James & Associates, Inc.
Claimant Representative(s): Dominique E. Heller
Respondent(s): Richard Vega
Respondent Representative(s): Richard Diego Vega
Neutral(s): Edith N. Dinneen
Hearing Site: Tampa, FL
Award FINRA 09/30/2016
15-02513
Claimant(s): Kestra Investment Services, LLC
Claimant Representative(s): Richard A. D'Amura
Respondent(s): Terry Sawchuk
Respondent Representative(s): Charles J. Gerlach
Neutral(s): Stephen D Kursman
Hearing Site: Detroit, MI
Award FINRA 09/29/2016
13-03531
Claimant(s): Anthony Sabatasso
Claimant Representative(s): Luis F. Biason
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Susan E. Sheely
Neutral(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
Award FINRA 09/29/2016
16-01203
Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Representative(s): Renan Sugarman
Respondent(s): Drew Romeo
Respondent Representative(s): Drew Anthony Romeo
Neutral(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
Award FINRA 09/29/2016
14-01576
Respondent(s): Asad Farraj, Blackbook Capital LLC
Respondent Representative(s): Asad J. Farraj, Frank I. Ogele
Neutral(s): Margaret Leggett Tarver, Peter L. Michaelson, Bryan David Glass
Hearing Site: Newark, NJ
Award FINRA 09/28/2016
15-02088
Claimant(s): Joyce Reuter, Keith Reuter
Claimant Representative(s): Stacie H. Rosenzweig
Respondent(s): Jerome Krause
Respondent Representative(s): Jerome Scott Krause
Neutral(s): Stuart S. Mukamal
Hearing Site: Milwaukee, WI
Award FINRA 09/28/2016
16-01041
Claimant(s): Prime Executions, Inc.
Claimant Representative(s): Donna H. Clancy
Respondent(s): Vincent Favaro
Respondent Representative(s): John A. Daniels
Neutral(s): John Daly
Hearing Site: New York, NY
Award FINRA 09/28/2016
15-01702
Claimant(s): Faith Magill
Claimant Representative(s): James J. Moylan
Respondent(s): Jackson National Life Distributors LLC
Respondent Representative(s): William R. Schulz
Neutral(s): Ilene T. Gormly, Robert H. Ottesen, Rey Hernandez Julian
Hearing Site: Denver, CO
Award FINRA 09/28/2016
16-00968
Claimant(s): Michael Moskowitz
Claimant Representative(s): Patrick Mahoney
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Anna Lascar
Hearing Site: New York, NY
Award FINRA 09/28/2016
16-00774
Claimant(s): Henry Bladon
Claimant Representative(s): Henry Bladon
Respondent(s): Avenir Financial Group
Respondent Representative(s): Michael Clements
Neutral(s): Amy Banet
Hearing Site: New York, NY
Award FINRA 09/28/2016

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