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Arbitration Awards Online

Displaying 1 - 15 of 57895
Award Document Case Summary Document Type Forum Date of Award
19-00527
Claimant(s): Thomas Norris
Claimant Representative(s): Joseph H. Spiegel
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Robert J. Scafuri
Hearing Site: Detroit, MI
Award FINRA 10/22/2019
18-03117
Claimant(s): John Bradley
Claimant Representative(s): Michael O'Gara
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Olivia Lee Jones
Neutral(s): Julius Z. Frager
Hearing Site: Cincinnati, OH
Award FINRA 10/21/2019
18-04322
Claimant(s): Sandeep Varma, Steven Musser
Claimant Representative(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
Award FINRA 10/21/2019
18-04386
Claimant(s): Kevin Cox
Claimant Representative(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Karl A. Vogeler
Hearing Site: Tampa, FL
Award FINRA 10/21/2019
19-01108
Claimant(s): Moses Rosario
Claimant Representative(s): Moses Rosario
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jeffery D. Rodgers
Neutral(s): Theodore Moreines, Morton S. Bunis, Joan Dawn Hogarth
Hearing Site: Newark, NJ
Award FINRA 10/21/2019
19-01213
Claimant(s): Roberto De Desus Pou
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): Seth L. Finkel
Hearing Site: San Juan, PR
Award FINRA 10/18/2019
19-01474
Claimant(s): Al Zvinakis as FPOA for Regina Zvinakis
Claimant Representative(s): Al Zvinakis
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Kevin H. Lewis
Neutral(s): Steven H. Vogel
Hearing Site: Chicago, IL
Award FINRA 10/18/2019
19-01681
Claimant(s): Benjamin Sax
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Robert J. Kheel
Hearing Site: New York, NY
Award FINRA 10/18/2019
19-00649
Claimant(s): Wesley Singleton
Claimant Representative(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Joelle A. Simms
Neutral(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
Award FINRA 10/18/2019
18-03033
Claimant(s): Paul Leyder
Claimant Representative(s): Darryl Bouganim
Respondent(s): Network 1 Financial Securities Inc.
Respondent Representative(s): Martin P. Unger
Neutral(s): Richard W. Vallario, Fred S. Pieroni, Francis Carling
Hearing Site: New York, NY
Award FINRA 10/18/2019
19-01872
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Representative(s): Trent M. Latta
Respondent(s): John Baron
Respondent Representative(s): John Antonio Baron
Neutral(s): Howard R. Gaines
Hearing Site: Salt Lake City, UT
Award FINRA 10/18/2019
19-00488
Claimant(s): Robert Burns
Claimant Representative(s): Harris Freedman
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Edward A. Walton
Neutral(s): Monica I. Salis
Hearing Site: Boca Raton, FL
Award FINRA 10/17/2019
19-00710
Claimant(s): Michael Brooks
Claimant Representative(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Igor V. Stadnik
Neutral(s): Gregory Hunter Mathews
Hearing Site: Norfolk, VA
Award FINRA 10/17/2019
19-00996
Claimant(s): Paul Mante
Claimant Representative(s): Alex R. Schmidt
Respondent(s): The GMS Group, LLC
Respondent Representative(s): Timothy J. Donohue
Neutral(s): Joseph H. Cerame
Hearing Site: New York, NY
Award FINRA 10/17/2019
19-00860
Claimant(s): William Sloan
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Intercarolina Financial Services, Inc.
Respondent Representative(s): Joseph E. Navolanic
Neutral(s): Michael J. Ahlstrom
Hearing Site: Raleigh, NC
Award FINRA 10/17/2019