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Arbitration Awards Online

Displaying 1 - 15 of 58100
Award Document Case Summary Document Type Forum Date of Award
19-00985
Claimant(s): David Pickler
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Joshua Norton
Neutral(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
Award FINRA 12/09/2019
16-01714
Claimant(s): Claude Asiane
Claimant Representative(s): Claude Asiane
Respondent(s): Michael Rapley, Andrew Garrett Inc.
Respondent Representative(s): Barry Bordetsky
Neutral(s): Ann C. Northern, James M. Rhodes, Katherine Cooper
Hearing Site: New York, NY
Award FINRA 12/09/2019
18-02333
Claimant(s): Charles Schwab & Co., Inc.
Claimant Representative(s): Michael R. Greco
Respondent(s): Beau Pollard, Jason Baer
Respondent Representative(s): Clinton W. Marrs
Neutral(s): Michael S. Matek, Ilene T. Gormly, Margaret Ann Barrington
Hearing Site: Denver, CO
Award FINRA 12/09/2019
18-00266
Claimant(s): Harold Merchant
Claimant Representative(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Leonel Peraza
Neutral(s): Will Murphy, Laurence V. Senn, Thomas W. Allen
Hearing Site: Boca Raton, FL
Award FINRA 12/09/2019
19-00321
Claimant(s): Scott Kanai
Claimant Representative(s): Matthew Wolper
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon Kaplon
Neutral(s): Tracy L. Allen
Hearing Site: Detroit, MI
Award FINRA 12/09/2019
18-03769
Claimant(s): Paul Houle
Claimant Representative(s): Lars Soreide
Respondent(s): IBN Financial Services, Inc.
Respondent Representative(s): Gregg J. Breitbart
Neutral(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
Award FINRA 12/06/2019
19-01419
Claimant(s): Michael Rodriguez
Claimant Representative(s): Rogge Dunn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah Yates
Neutral(s): Raymond C. Kerr, Robert J. Gregory, Colleen Margaret Baker
Hearing Site: Oklahoma City, OK
Award FINRA 12/06/2019
18-03863
Claimant(s): David Maturi
Claimant Representative(s): Jorge M. Altamirano
Respondent(s): L.O. Thomas & Co. Inc.
Respondent Representative(s): Marc S. Gottlieb
Neutral(s): Diane Ciccone, Carol H. Gold, Mark H. Stein
Hearing Site: Philadelphia, PA
Award FINRA 12/06/2019
19-01408
Claimant(s): Joseph Cordi
Claimant Representative(s): Irwin Weltz
Respondent(s): Aegis Capital Corp.
Respondent Representative(s): Tony Naccarelli
Neutral(s): Mary Lou McGanney
Hearing Site: New York, NY
Award FINRA 12/05/2019
19-01354
Claimant(s): Craig Wakefield
Claimant Representative(s): Molly M. White
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Dominick F. Evangelista
Neutral(s): Kathy R. Holler, Lynne M. Gomez, Mary Esther Escobedo
Hearing Site: Houston, TX
Award FINRA 12/05/2019
19-01705
Claimant(s): AXA Advisors, LLC, AXA Network, LLC
Claimant Representative(s): Kenneth O'Connor
Respondent(s): David Schrank
Respondent Representative(s): David Jay Schrank
Neutral(s): Jack Friedman
Hearing Site: Newark, NJ
Award FINRA 12/05/2019
19-00584
Claimant(s): Douglas Magers
Claimant Representative(s): Harris Freedman
Respondent(s): Fifth Third Securities, Inc.
Respondent Representative(s): Matthew R. Byrne
Neutral(s): Tracy L. Allen
Hearing Site: Cleveland, OH
Award FINRA 12/05/2019
19-00750
Claimant(s): Jeffrey Heinel
Claimant Representative(s): Joel Wertman
Respondent(s): The Investment Center, Inc.
Respondent Representative(s): Douglas A. Wright
Neutral(s): Jack Friedman, Marvin L. Schuldiner, Richard Morse
Hearing Site: Newark, NJ
Award FINRA 12/05/2019
18-02012
Claimant(s): Mark Pent
Claimant Representative(s): Nicholas P. Iavarone
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Mark D. Knoll
Neutral(s): P J Boylan, Stuart S. Mukamal, Bryan K. Nestor
Hearing Site: Milwaukee, WI
Award FINRA 12/05/2019
19-01225
Claimant(s): James Worrell
Claimant Representative(s): Erica Harris
Respondent(s): Kestra Investment Services, LLC
Respondent Representative(s): David J. Lehr
Neutral(s): Robert E. Anderson
Hearing Site: Providence, RI
Award FINRA 12/04/2019