Arbitration Awards Online

Displaying 1 - 15 of 56562
Award ID Case Summary Document Type Forum Date of Awardsort ascending
18-02076
Claimant(s): Trent Leyda
Claimant Representative(s): Jarrod J. Malone
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Stanton A. Fears
Neutral(s): Bonnie A. Pearce, Andrew Jay Kohan, Robert Lawrence Ostrov
Hearing Site: Boca Raton, FL
Award FINRA 12/14/2018
18-01672
Claimant(s): Marc Johnson
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff S. Beckham
Neutral(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
Award FINRA 12/14/2018
17-01987
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Representative(s): Samuel Mauch
Respondent(s): Richard Hartnett
Respondent Representative(s): Robert C. Harris
Neutral(s): Jack A. Helms
Hearing Site: Columbia, SC
Award FINRA 12/14/2018
15-02387
Claimant(s): El Capitan Limited Corporation
Claimant Representative(s): Samuel B. Edwards
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Neil Baritz
Neutral(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
Award FINRA 12/14/2018
18-00915
Claimant(s): Herbert Moskowitz & Marilyn Moskowitz
Claimant Representative(s): Herbert Moskowitz
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Meredith F. Hoffman
Neutral(s): William Kent Brown, Ellen J. Abrams, Marvin S. Lava
Hearing Site: Boca Raton, FL
Award FINRA 12/14/2018
18-00720
Claimant(s): Lance Williams
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Wells Fargo Securities Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Judy Louie, Sarah K. Yates
Neutral(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
Award FINRA 12/13/2018
15-03238
Claimant(s): David Caidar, David Caidar Trust
Claimant Representative(s): Bruce D. Oakes
Respondent(s): Morgan Stanley
Respondent Representative(s): Nicholas Y. Lin
Neutral(s): Elliott D. Finkel, Constance Ellen Boukidis, Thomas R. Watkins
Hearing Site: Los Angeles, CA
Award FINRA 12/13/2018
17-01542
Claimant(s): Betty Faigenblat, Mark Faigenblat, MBF (PR), LLC, MFB Corporation, Mark M. Faigenblat Retirement Plan, Fideicomiso Coin, Fideicomiso Mirabelle
Claimant Representative(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): Peter G. Neiman
Neutral(s): Robert S. Zuckerman, Peter B. Loewenberg, John Akroyd
Hearing Site: San Juan, PR
Award FINRA 12/13/2018
16-03708
Claimant(s): Lionel Shaw
Claimant Representative(s): Garet D. O'Keefe
Respondent(s): Summit Brokerage Services, Inc.
Respondent Representative(s): Michael Schwartzberg
Neutral(s): Michelle Judy Brant, Alden Sharp Adkins, Roland Neil Burgess
Hearing Site: San Francisco, CA
Award FINRA 12/13/2018
17-00006
Claimant(s): Arthur Puglia
Claimant Representative(s): Arthur R. Puglia
Respondent(s): Bao Nguyen, Gregory Melendez, William Karvecky, Pecunia Management, LLC
Respondent Representative(s): Bao Quoc Nguyen, John E. Lawlor, Michael D. Handelsman, Michael P. Gilmore
Neutral(s): Elliot B. Platt
Hearing Site: Philadelphia, PA
Award FINRA 12/13/2018
18-01153
Claimant(s): Kurt Jackson
Claimant Representative(s): Michelle Atlas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Randi Perry Spallina
Neutral(s): George L. Tindall
Hearing Site: Los Angeles, CA
Award FINRA 12/13/2018
17-02994
Claimant(s): Great Vision USD Fund I, L.P.
Claimant Representative(s): Leon Baer Borstein
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): Jason Billy
Neutral(s): Michael H. DuBoff, John Michael Richardson, Andrew Evan Gelfand
Hearing Site: New York, NY
Award FINRA 12/13/2018
16-00293
Claimant(s): John Everson, Rosalie Everson
Claimant Representative(s): James Thomaidis
Respondent(s): Edward Jones
Respondent Representative(s): Thomas H. Wagner
Neutral(s): Ilene T. Gormly, Marilyn R. Lewis, Carol L. Roslund
Hearing Site: Denver, CO
Award FINRA 12/13/2018
17-02665
Claimant(s): Rajiv Nagesetty& Neesha Pammi RevocTrust
Claimant Representative(s): Rick Conway
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
Award FINRA 12/13/2018
18-02167
Claimant(s): Raymond Lucia
Claimant Representative(s): Robert Moses
Respondent(s): Lucia Securities, Llc
Respondent Representative(s): Viktoria Palermo CCO
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
Award FINRA 12/13/2018

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