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Arbitration Awards Online

Displaying 1 - 15 of 58583
Award Document Case Summary Document Type Forum Date of Award
17-02177
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings, LLC
Claimant Representative(s): Tracy L. Gerber
Respondent(s): Rajesh Gupta
Respondent Representative(s): Aaron Maduff
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
Award FINRA 04/08/2020
17-01930
Claimant(s): Michael Campbell, Dominick & Dickerman LLC
Claimant Representative(s): Edward James Little
Respondent(s): Gary Wunderlich, Wunderlich Securities, Inc.
Respondent Representative(s): Peter S. Fruin
Neutral(s): Jill I. Gross, Joel B. Finard, A. Rene Hollyer
Hearing Site: New York, NY
Award FINRA 04/07/2020
18-01951
Claimant(s): Linda Marcelli
Claimant Representative(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Ivan P. Harris
Neutral(s): Langfred W. White, Richard S. Zaifert, Jerome Blevins
Hearing Site: Tampa, FL
Award FINRA 04/07/2020
18-04236
Claimant(s): Kenneth Glick
Claimant Representative(s): Jeffrey Liddle
Respondent(s): Morgan Stanley
Respondent Representative(s): Travis R. Chapin
Neutral(s): Linda J. Baer, Jay Alan Kranis, John Joseph DeLorenzo
Hearing Site: Newark, NJ
Award FINRA 04/07/2020
19-02566
Claimant(s): Maria Freeman
Claimant Representative(s): Alex S. Aughtry
Respondent(s): LPL Financial LLC, Raymond Daigle, Robert Comeaux, Walter Bond, Commonwealth Financial Network, Comeaux Bond Daigle, LLC
Respondent Representative(s): Donna Phillips Currault, John W. Joyce
Neutral(s): David A. Schuler, Keith E. Robinson, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
Award FINRA 04/07/2020
19-02224
Claimant(s): Jose Lorenzo and Rosalia Torres
Claimant Representative(s): Marcos O. Valls-Sanchez
Respondent(s): UBS Financial Services Inc. Of PR
Respondent Representative(s): Viviana Aldous
Neutral(s): Joyce A. Mitchell
Hearing Site: San Juan, PR
Award FINRA 04/07/2020
19-03102
Claimant(s): Nicole McGrouther
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Deirdre C. Wolff
Neutral(s): Michael H DuBoff
Hearing Site: Newark, NJ
Award FINRA 04/07/2020
19-03183
Claimant(s): Marc Strafaci
Claimant Representative(s): Mitra E. Niknam
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Mitra E. Niknam
Neutral(s): Jack Friedman
Hearing Site: Newark, NJ
Award FINRA 04/06/2020
19-00465
Claimant(s): TIAA, TIAA-Cref Individual & Institutional
Claimant Representative(s): Steven Link
Respondent(s): Tara Stewart
Respondent Representative(s): Jonathan C. Thau
Neutral(s): Dean Burrell, Patricia Kathleen Costello, Michael W. Starr
Hearing Site: Newark, NJ
Award FINRA 04/06/2020
19-02861
Claimant(s): Terence Hunt
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Robert J. Ambrogi
Hearing Site: Boston, MA
Award FINRA 04/03/2020
19-03609
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Jack D. Ballard
Respondent(s): Juan Uribe
Respondent Representative(s): Juan Uribe
Neutral(s): Raymond C. Kerr
Hearing Site: Houston, TX
Award FINRA 04/03/2020
19-02995
Claimant(s): Baruch Azulay
Claimant Representative(s): David E. Robbins
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Thomas J. Cahill
Neutral(s): Richard W. Vallario
Hearing Site: New York, NY
Award FINRA 04/03/2020
19-03100
Claimant(s): William Hennion
Claimant Representative(s): Mitra E. Niknam
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Mitra E. Niknam
Neutral(s): Robert E. Anderson
Hearing Site: Newark, NJ
Award FINRA 04/03/2020
18-01725
Claimant(s): Peter Josten
Claimant Representative(s): Brian A. Carlis
Respondent(s): LPL Financial LLC, Moors & Cabot, Inc.
Respondent Representative(s): George D. Sullivan, Robert A. Giacovas
Neutral(s): Robert E. Anderson, Suzanne M. Carter, Linda Frances Spiegel
Hearing Site: Newark, NJ
Award FINRA 04/03/2020
20-00118
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Miles D. Hart
Respondent(s): Calvin Kleinmann
Respondent Representative(s): Calvin Ray Kleinmann
Neutral(s): Susan L. Walker
Hearing Site: Kansas City, MO
Award FINRA 04/03/2020