Arbitration Awards Online

Displaying 1 - 15 of 57402
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-02792
Claimant(s): Margaret Hixon
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Sa Stone Wealth Management Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Nicholas John Taldone
Hearing Site: Tampa, FL
Award FINRA 06/25/2019
17-01389
Claimant(s): En-Range Inc.
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): Damian Mamane
Respondent Representative(s): Damian Louis Mamane
Neutral(s): Nancy J. Cliff, Kevin A. Llinas, Sanders William Gropper
Hearing Site: Miami, FL
Award FINRA 06/25/2019
18-04144
Claimant(s): Richard Casolari
Claimant Representative(s): Tosh D Grebenik
Respondent(s): Mony Securities Corporation
Respondent Representative(s): Eileen Stassa
Neutral(s): Gregory G. Gocek
Hearing Site: Chicago, IL
Award FINRA 06/25/2019
17-00716
Claimant(s): Christopher Jansen
Claimant Representative(s): Robert L. Herskovits
Respondent(s): Invest Financial Corporation
Respondent Representative(s): Jessica E. Levine
Neutral(s): Joseph H. Cerame, F. Peter Phillips, Bruce Edward Walenczyk
Hearing Site: Newark, NJ
Award FINRA 06/24/2019
17-00887
Claimant(s): Paul Schneider
Claimant Representative(s): Barry M. Bordetsky
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Eugene L. Small
Neutral(s): Elena G. Rodriguez, Will Murphy, Daniel Nathan Schatz
Hearing Site: Boca Raton, FL
Award FINRA 06/24/2019
18-04428
Claimant(s): Rocco Guidicipietro
Claimant Representative(s): Scott Holcomb
Respondent(s): John Maring, Laura Maring
Respondent Representative(s): John Maring
Neutral(s): Keely D. Parr
Hearing Site: New York, NY
Award FINRA 06/24/2019
18-00380
Claimant(s): Jeffrey Boudjouk
Claimant Representative(s): Jeffrey L. Levy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melanie L. Ronen
Neutral(s): Mary C. Kelleher, Robert E. Anderson, Nicholas Trott Long
Hearing Site: Providence, RI
Award FINRA 06/24/2019
18-03368
Claimant(s): David Petty
Claimant Representative(s): Joel M. Everest
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Stanton A. Fears
Neutral(s): Debra Black Leo
Hearing Site: Birmingham, AL
Award FINRA 06/24/2019
18-03709
Claimant(s): Walter Kukowski
Claimant Representative(s): Robert Knuts
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Deirdre Wolff
Neutral(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
Award FINRA 06/24/2019
18-04260
Claimant(s): Lee Miller
Claimant Representative(s): Joseph H. Spiegel
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Deirdre Wolff
Neutral(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
Award FINRA 06/21/2019
18-01916
Claimant(s): The Elaine Lynn Revocable Trust, The Melvin Lynn Revocable Trust
Claimant Representative(s): Eric M. Jaffe
Respondent(s): J.P. Morgan Securities, LLC, Jeremy Rayburn, Vincent Sapienza
Respondent Representative(s): Michael A. Gross
Neutral(s): Maria C. Hermida, Betty Chen, Andrew M. Schmertz
Hearing Site: New York, NY
Award FINRA 06/21/2019
18-01976
Claimant(s): Zephyr Fund, LP
Claimant Representative(s): Rod Holder
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Joseph Siders
Neutral(s): Jeffry L. Perlman, Kelli J. Jareaux, David Paul Clark
Hearing Site: Washington, DC
Award FINRA 06/20/2019
16-01018
Claimant(s): Amy Eisner, Carolyn Herrmann, David Freilicher, Ellen Nass, Hal Nass, Helene Posnick, Herbert Pfeffer, Jean Schram, John Skalicky, Kirstine Schaeffer, Lawrence Eisner, Marc Hyman, Myrna Barzelatto, Paul Posnick, Richard Schram, Robert Gluckin, Robert Skollar, Thomas Herrmann, William Bernstein, Estate of Joan B. Gluckin, et al
Claimant Representative(s): Adam J. Weinstein, Adam Gana
Respondent(s): David Blisk, Suzanne McKeown, Spire Securities, LLC
Respondent Representative(s): Paul A. Lieberman
Neutral(s): Sandra D. Parker, Amy Banet, Albert Rizzo
Hearing Site: New York, NY
Award FINRA 06/20/2019
15-00038
Claimant(s): Delise Martire, Sandra Hendricksen Martire
Claimant Representative(s): J. Owen Murrin
Respondent(s): Edward Jones, Troy Nelson
Respondent Representative(s): Elizabeth H. Lindh
Neutral(s): Terry F. Peppard, Stanley H. Michelstetter, P. J. Boylan
Hearing Site: Bismarck, ND
Award FINRA 06/20/2019
18-03196
Claimant(s): Thomas Zur
Claimant Representative(s): Harris Freedman
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Joel M. Everest, Jonathan C. Schwartz
Neutral(s): Will Murphy
Hearing Site: Miami, FL
Award FINRA 06/20/2019

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