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Arbitration Awards Online

Displaying 1 - 15 of 59077
Award Document Case Summary Document Type Forum Date of Award
20-00052
Claimant(s): Bradley Armstrong
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC
Respondent Representative(s): Sara B. Davis
Neutral(s): Ray J. Grzebielski
Hearing Site: Chicago, IL
Award FINRA 09/28/2020
20-01149
Claimant(s): Alisa Jaffe
Claimant Representative(s): Cory S. Zadanosky
Respondent(s): Morgan Stanley
Respondent Representative(s): Kimberly J. Gustafson
Neutral(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
Award FINRA 09/28/2020
20-01216
Claimant(s): William McAndrew
Claimant Representative(s): William H. McAndrew
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Garrett R. Wynne
Neutral(s): Richard P. Regan
Hearing Site: Washington, DC
Award FINRA 09/28/2020
20-01133
Claimant(s): Bruce Linger
Claimant Representative(s): Paula D. Shaffner
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Representative(s): Michael W. Arnold
Neutral(s): Louis H Miron
Hearing Site: Newark, NJ
Award FINRA 09/25/2020
19-03454
Claimant(s): John Vandyke
Claimant Representative(s): Benjamin Winograd
Respondent(s): QA3 Financial Corp.
Respondent Representative(s): Company President
Neutral(s): Tracy L. Allen
Hearing Site: Detroit, MI
Award FINRA 09/25/2020
20-00683
Claimant(s): E. Johnson
Claimant Representative(s): Kaitlin Brown
Respondent(s): McBarron Capital LLC
Respondent Representative(s): Dino Apostolides
Neutral(s): Jill Pilgrim, Jay L. Zelesnick, Betty Chen
Hearing Site: New York, NY
Award FINRA 09/25/2020
19-01774
Claimant(s): Michael Stevens, Michael Stevens IRA
Claimant Representative(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Securities Service Network, LLC
Respondent Representative(s): Christopher G. Lazirini, Jon D. Kaplon
Neutral(s): David S. Eisenberg, Roger A. Geddes, Kenneth L. Mann
Hearing Site: Phoenix, AZ
Award FINRA 09/25/2020
20-01184
Claimant(s): Michael Lackwood
Claimant Representative(s): Thomas McEvoy
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): Nicola A. Murphy
Neutral(s): Michael S. Lazan
Hearing Site: New York, NY
Award FINRA 09/25/2020
20-00197
Claimant(s): Dale Cebert
Claimant Representative(s): Harris Freedman
Respondent(s): National Planning Corporation
Respondent Representative(s): Eric A. Michaels
Neutral(s): John P. Cullem
Hearing Site: Orlando, FL
Award FINRA 09/24/2020
20-00884
Claimant(s): Robert Franchini
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam M. Kauff
Neutral(s): Joan M. Traub
Hearing Site: New York, NY
Award FINRA 09/24/2020
20-01081
Claimant(s): Charles Laubach
Claimant Representative(s): Charles Laubach
Respondent(s): Chapin Davis
Respondent Representative(s): Daniel J. Donovan
Neutral(s): Thomas J. Dolina
Hearing Site: Baltimore, MD
Award FINRA 09/24/2020
20-00948
Claimant(s): Montee Sneed
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
Award FINRA 09/24/2020
20-01796
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Jeffery D. Rodgers
Respondent(s): Eric Williams
Respondent Representative(s): Eric Roger Williams
Neutral(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
Award FINRA 09/23/2020
20-00423
Claimant(s): Sylvester Knox
Claimant Representative(s): Dochtor Kennedy
Respondent(s): First Union Brokerage Services, Inc.
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Louis H Miron
Hearing Site: Newark, NJ
Award FINRA 09/23/2020
20-00418
Claimant(s): Peggy Rouillier
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Securities America, Inc.
Respondent Representative(s): Tyler Schubauer
Neutral(s): Stuart K. Furman
Hearing Site: Nashville, TN
Award FINRA 09/23/2020