Arbitration Awards Online

Displaying 1 - 15 of 57139
Award ID Case Summary Document Type Forum Date of Awardsort ascending
17-03145
Claimant(s): Alan Airey, Brenda Alford, Carolyn Nightingale, Dan Crane, Dean Huntington, Debra Asher, Denis Smith, James Williams, John Trabold, Jung Herding, Karen Isbell, Marie Wolfe, Mona Smith, Paul Nightingale, Paul Wolfe, Pierre Herding, Stan Isbell, Susan Connell, The Trustee Premier Trust of Nevada
Claimant Representative(s): Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Representative(s): Jeffrey J. Chapman
Neutral(s): Louis J. Weber, Don G Miller, Juanita Harris
Hearing Site: Dallas, TX
Award FINRA 04/22/2019
18-03570
Claimant(s): Rhyan Young
Claimant Representative(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Thomas J. Cahill
Neutral(s): Jeff Abrams
Hearing Site: Dallas, TX
Award FINRA 04/22/2019
18-01452
Claimant(s): Alfred Bonardi
Claimant Representative(s): Joshua F. Bautz
Respondent(s): Morgan Stanley DW Inc., Oppenheimer & Co., Inc., Citigroup Global Markets, Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Gina Shlaferman, Joelle A. Simms, John T. McGuire, Randi Perry Spallina
Neutral(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Award FINRA 04/19/2019
18-00330
Claimant(s): The Jean Saunders Trust, The Stephen Saunders Trust
Claimant Representative(s): Stefan Apotheker
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Anthony L. Valenzuela
Neutral(s): Linda M. Foster-Wells, Sonja Shuford, Lisa Jane Austein
Hearing Site: Boca Raton, FL
Award FINRA 04/19/2019
18-02624
Claimant(s): John Davis
Claimant Representative(s): John H. Davis
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): James C. Hoover
Hearing Site: Birmingham, AL
Award FINRA 04/19/2019
17-01284
Claimant(s): Vincent Kimberly Del Corso Trust
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Morgan Stanley
Respondent Representative(s): Christopher M. Sacco
Neutral(s): John P. Cullem, David M. Snyder, Philip L. Manczak
Hearing Site: Tampa, FL
Award FINRA 04/18/2019
17-00157
Claimant(s): James Lloyd, Susan Lloyd
Claimant Representative(s): Elisabeth S. Gray
Respondent(s): First Kentucky Securities Corporation
Respondent Representative(s): Richard Frankowski
Neutral(s): George G. Kurschner, Steven Michael McCauley, Anthony G. Belak
Hearing Site: Louisville, KY
Award FINRA 04/18/2019
15-00734
Claimant(s): Gerald M. Butler, Jr. Family Trust, Gerald M. Butler, Jr. Marital Trust
Claimant Representative(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Representative(s): Fred N. Knopf
Neutral(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
Award FINRA 04/18/2019
18-03001
Claimant(s): David Rojas
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Isabel Torres-Sastre
Neutral(s): Seth L. Finkel
Hearing Site: San Juan, PR
Award FINRA 04/17/2019
18-01742
Claimant(s): Eduardo Brender
Claimant Representative(s): Joelle Simms
Respondent(s): Morgan Stanley
Respondent Representative(s): Christopher M. Sacco
Neutral(s): Mark C. Perry
Hearing Site: Miami, FL
Award FINRA 04/17/2019
18-01422
Claimant(s): Jimmy Suh
Claimant Representative(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Andrew M. DeLucia
Neutral(s): Richard M. Norman, David S. Harrison, Norman Michael Garland
Hearing Site: Los Angeles, CA
Award FINRA 04/17/2019
18-00095
Claimant(s): James Carey
Claimant Representative(s): W. Andrew Clayton
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Marc S. Dobin
Neutral(s): Joseph I. Goldstein, Cindy L. Anderson, Mary Ann Etzler
Hearing Site: Orlando, FL
Award FINRA 04/17/2019
18-01157
Claimant(s): Clifford Gelman
Claimant Representative(s): Anthony J. Harwood
Respondent(s): Thomas Borruso
Respondent Representative(s): Thomas Joseph Borruso
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
Award FINRA 04/16/2019
17-00801
Claimant(s): FSC Securities Corporation
Claimant Representative(s): Bradley Fishman
Respondent(s): Jordan Berlin
Respondent Representative(s): Christopher D. Warren
Neutral(s): Anna Lascar, Steven Gary Leventhal, Harvey E. Benjamin
Hearing Site: New York, NY
Award FINRA 04/16/2019
18-00587
Claimant(s): Christopher Lee Gebbie
Claimant Representative(s): Christopher L Gebbie
Respondent(s): Christopher Halotek, Morgan Stanley
Respondent Representative(s): Andrew Gelfand
Neutral(s): Michael J. McCormack, Philip S. Walker, Thomas M. Madden
Hearing Site: Hartford, CT
Award FINRA 04/16/2019

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