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Arbitration Awards Online

Displaying 1 - 15 of 58376
Award Document Case Summary Document Type Forum Date of Award
18-03754
Claimant(s): David and Linda Watts JTWROS
Claimant Representative(s): Mitchell H. Cobert
Respondent(s): Brian Wurdemann, Morgan Stanley, UBS Financial Services Inc.
Respondent Representative(s): Adam Kauff, Anthony J. Borrelli, Brian M. Wurdemann
Neutral(s): Philip Levine, Catherine Stewart, Bryan David Glass
Hearing Site: Newark, NJ
Award FINRA 02/19/2020
19-02626
Claimant(s): Jack Cohen
Claimant Representative(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
Award FINRA 02/19/2020
19-01676
Claimant(s): Brent Henry, Dustin Colebank, Pamela Raben
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Lynne M. Gomez
Hearing Site: Little Rock, AR
Award FINRA 02/19/2020
19-01576
Claimant(s): Dianne Townsend
Claimant Representative(s): Harris Freedman
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Robert M. Rudnicki
Neutral(s): Seth L. Finkel
Hearing Site: Boca Raton, FL
Award FINRA 02/19/2020
19-01962
Claimant(s): Jahanguir Azodi
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc, Cetera Advisors LLC
Respondent Representative(s): Jeremy Carr, Shelley Davenport
Neutral(s): John R. Loss
Hearing Site: Kansas City, MO
Award FINRA 02/18/2020
18-04121
Claimant(s): Rosemary Lanzo
Claimant Representative(s): Michael J. Betts
Respondent(s): John Lisowski, Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Stanley Yorsz
Neutral(s): Barry Goldman, Michael S. Berman, John Joseph Neely
Hearing Site: Pittsburgh, PA
Award FINRA 02/18/2020
18-04019
Claimant(s): Carolyn Smith, Charles Gibson, Courtney Watson, Dana McElveen, David McElveen, Edwin Batiz, John Watson, Joyce Bedsole, Kenneth Roberts, Mary Jo Kearfott, Michael Kogutt, Paul Smith, Randy Kogutt, Robert Burns, Samuel Kogutt, Thomas Towne, Travis Bedsole, Virginia Scherer, English Garden LLC, Estate of Lawrence Lester, Bobby E. Sapp IRA, Carol I. Bordok IRA, James A. Windom IRA, James Thannum IRA, Stanley McMorris IRA, Thomas Carter Towne IRA, Travis Bedsole IRA, W. Hibbett Neel IRA, Dr. Eric Lewis, Tte for Southwest Center, Thannum Revocable Living Trust, Thomas & Virginia Scherer Credit Shelter
Claimant Representative(s): Donald L. Ferguson, Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Representative(s): Jeffrey J. Chapman
Neutral(s): William L. Cravens, Frances Johnson Wright, James W. Kerr
Hearing Site: Dallas, TX
Award FINRA 02/18/2020
18-03143
Claimant(s): Dhavid Cooper, Guy Hodgson, Custodian for Dylan Hodgson, Custodian for Hunter Hodgson, Custodian for Matthew Hodgson
Claimant Representative(s): Leon H. Horne
Respondent(s): John Durig, Durig Capital Inc.
Respondent Representative(s): Justin C. Sawyer
Neutral(s): Donald K. Eckhardt, Jacqueline R. Fox, Jeffrey Bruce Bock
Hearing Site: Houston, TX
Award FINRA 02/18/2020
18-02695
Claimant(s): David Whelchel, Shawn Lesser
Claimant Representative(s): Eric J. Taylor
Respondent(s): Intellivest Securities, Inc.
Respondent Representative(s): James A. Nofi
Neutral(s): Daniel E Gulden, Robert Payne Koven, Jeffrey Alperin
Hearing Site: Atlanta, GA
Award FINRA 02/18/2020
19-02337
Claimant(s): Joy Hurst
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Harvey R. Linder
Hearing Site: Atlanta, GA
Award FINRA 02/18/2020
19-02096
Claimant(s): Michael Palmer
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Representative(s): Scott R. Forbush
Neutral(s): Philip J. Glick
Hearing Site: Cleveland, OH
Award FINRA 02/14/2020
19-03009
Claimant(s): Ricardo Eboli-Kodesh
Claimant Representative(s): Linette Figueroa Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Sonia M. Lopez del Valle
Neutral(s): Christopher J. Klein
Hearing Site: San Juan, PR
Award FINRA 02/14/2020
19-03091
Claimant(s): Ustocktrade Securities, Inc.
Claimant Representative(s): Francesco Matteini
Respondent(s): Suman Kandel
Respondent Representative(s): Suman Kandel
Neutral(s): Arthur H. Geffen
Hearing Site: Dallas, TX
Award FINRA 02/14/2020
19-01996
Claimant(s): Mary-Lee Widder
Claimant Representative(s): Jessica Calloway
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Deirdre Wolff
Neutral(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Award FINRA 02/14/2020
17-03322
Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): Cory S. Zadanosky
Respondent(s): Andrew Lerner, Charles Shalmi, Logan Shalmi, Mark Garfinkel
Respondent Representative(s): Cory S. Zadanosky, Mark Steven Garfinkel
Neutral(s): Debra A. Byrne-Mathews, Alice J. Johnson, Kimberlee Ann Fowler
Hearing Site: Boca Raton, FL
Award FINRA 02/14/2020