Arbitration Awards Online

Displaying 1 - 15 of 56863
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-00911
Claimant(s): William Jordan, WNJ Capital, LLC
Claimant Representative(s): Scott E. Diamond
Respondent(s): David Joyce
Respondent Representative(s): Paula D. Shaffner
Neutral(s): Rafael A. Porrata-Doria, Peter George Erdely, John Chidester Heywood
Hearing Site: Philadelphia, PA
Award FINRA 02/15/2019
18-03178
Claimant(s): Kristi Prewitt
Claimant Representative(s): Kristi Prewitt
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith F. Hoffman
Neutral(s): Raymond C. Kerr
Hearing Site: Houston, TX
Award FINRA 02/14/2019
18-00941
Claimant(s): Roger Blythe
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates, Inc.
Respondent Representative(s): Bradley A. Fishman
Neutral(s): Katherine H. O'Neil
Hearing Site: Portland, OR
Award FINRA 02/14/2019
18-01685
Claimant(s): Bryan Schnabolk
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Monarch Financial Corporation Of America
Respondent Representative(s): Louis Rich
Neutral(s): Michael S. Lazan
Hearing Site: New York, NY
Award FINRA 02/14/2019
17-00246
Claimant(s): Walter Ryan
Claimant Representative(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Todd Ratner
Neutral(s): William M. Howard, Sheila Grinell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
Award FINRA 02/14/2019
17-02795
Claimant(s): Carol Brink
Claimant Representative(s): Lydia M. Floyd
Respondent(s): Sigma Financial Corporation
Respondent Representative(s): Janine M. Lucas
Neutral(s): Sal Presti, Debra Granat Grudichak, Mark W Solock
Hearing Site: Chicago, IL
Award FINRA 02/14/2019
18-00713
Claimant(s): Mark Rosenberg
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, LLC, CIBC World Markets Corp.
Respondent Representative(s): Alan S. Brodherson, Elizabeth Rose Aylett
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
Award FINRA 02/14/2019
17-00765
Claimant(s): The Malave-Torres Trust
Claimant Representative(s): Jeffrey Erez
Respondent(s): Oriental Financial Services Corp.
Respondent Representative(s): Pedro Hernandez-Freire
Neutral(s): Michael J. Ahlstrom, Cheryl E. Winton, Mark Ritchie
Hearing Site: San Juan, PR
Award FINRA 02/13/2019
17-03334
Claimant(s): Vanguard Marketing Corporation
Claimant Representative(s): Julie E. Ravis
Respondent(s): Derek Zupancic
Respondent Representative(s): Derek Zupancic
Neutral(s): Thomas E. Shuck, Kendall C. Reed, Frank Centofanti
Hearing Site: Los Angeles, CA
Award FINRA 02/13/2019
17-01523
Claimant(s): Ion Zupcu, Rodica Zupcu
Claimant Representative(s): Timothy J. O'Connor
Respondent(s): Kenneth Christman, Stifel, Nicolaus & Co., Inc., Theresa Scott
Respondent Representative(s): Jeffrey C. Primiano
Neutral(s): Veronica Ann Williams
Hearing Site: New York, NY
Award FINRA 02/13/2019
18-02363
Claimant(s): Michael Casey
Claimant Representative(s): Clinton Marrs
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Matthew I. Penfield
Neutral(s): Anthony D. DeToro, Philip H. Marmurowski, Paul E. Dahlman
Hearing Site: Las Vegas, NV
Award FINRA 02/13/2019
18-00094
Claimant(s): Bradley Glasman
Claimant Representative(s): Michael Bessette
Respondent(s): Hilltop Securities Inc.
Respondent Representative(s): Brandon S. Reif
Neutral(s): Sterling N. Frost
Hearing Site: San Francisco, CA
Award FINRA 02/13/2019
18-03285
Claimant(s): Eric Hipple
Claimant Representative(s): Robert J. Hahn
Respondent(s): Ernest Romer
Respondent Representative(s): Ernest Julius Romer
Neutral(s): Timothy J. Currier
Hearing Site: Detroit, MI
Award FINRA 02/13/2019
16-01544
Claimant(s): Michael Cohen
Claimant Representative(s): Scott M. Behren
Respondent(s): Aegis Capital Corp.
Respondent Representative(s): Barry Temkin
Neutral(s): Daniel H. Yaffe, Monroe Mitchel, Ronald Stephen Lieberman
Hearing Site: Boca Raton, FL
Award FINRA 02/12/2019
16-00737
Claimant(s): R. A. Rosario, for his Retirement Plan
Claimant Representative(s): Normarie Rodriguez-Perez
Respondent(s): Santander Securities LLC
Respondent Representative(s): Sara Lydia Vélez Santiago
Neutral(s): Thomas Joseph Atkinson, Jane A. Smith, Neil Harvey Smith
Hearing Site: San Juan, PR
Award FINRA 02/12/2019

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