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Arbitration Awards Online

Displaying 1 - 15 of 58830
Award Document Case Summary Document Type Forum Date of Award
19-03036
Claimant(s): Steven Kavall
Claimant Representative(s): Seth E. Lipner
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Jamie L. Helman
Neutral(s): Joan M. Traub
Hearing Site: New York, NY
Award FINRA 07/02/2020
19-02595
Claimant(s): John Baughman
Claimant Representative(s): Tosh D Grebenik
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Geoff Beckham
Neutral(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
Award FINRA 07/02/2020
18-03755
Claimant(s): Stanley Kulesza
Claimant Representative(s): Richard D. DeVita
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Simeon Schopf
Neutral(s): Sam Antar, Scott M. Pellegrino, James M. Rhodes
Hearing Site: Newark, NJ
Award FINRA 07/01/2020
19-03233
Claimant(s): Anne Elferdink
Claimant Representative(s): Steven E. Martin
Respondent(s): Edward Jones, James Koinis
Respondent Representative(s): Jordan D. Maglich
Neutral(s): John P. Cullem, Richard R. Logsdon, Kenneth R. Starr
Hearing Site: Tampa, FL
Award FINRA 06/30/2020
20-00348
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Renan I. Sugarman
Respondent(s): Frank Mebane
Respondent Representative(s): Frank Noel Mebane
Neutral(s): Maurice M. Feller
Hearing Site: Columbia, SC
Award FINRA 06/30/2020
19-03428
Claimant(s): Howard Lashner
Claimant Representative(s): Colin Thomas Dean
Respondent(s): PFS Investments Inc.
Respondent Representative(s): Adam M. Weaver
Neutral(s): Diane Ciccone
Hearing Site: Philadelphia, PA
Award FINRA 06/30/2020
19-02735
Claimant(s): Aaron Sevigny
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): United Planners' Financial Services of A
Respondent Representative(s): David B. Hauer
Neutral(s): Robert G. Geeseman
Hearing Site: Boca Raton, FL
Award FINRA 06/30/2020
19-03506
Claimant(s): Martha Caldwell
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): James John Jurinski
Hearing Site: Portland, OR
Award FINRA 06/30/2020
19-02594
Claimant(s): Ross Pake
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC
Respondent Representative(s): Eleonora Yonge
Neutral(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
Award FINRA 06/30/2020
19-03364
Claimant(s): Craig Goldstone
Claimant Representative(s): Craig Mitchell Goldstone
Respondent(s): Oppenheimer & Co., Inc.
Respondent Representative(s): John T. McGuire
Neutral(s): Bernard S. Carrey, Kimberly A. Gilmour, Michael D Felton
Hearing Site: Boca Raton, FL
Award FINRA 06/29/2020
19-03374
Claimant(s): Steven Jacques
Claimant Representative(s): Steven Todd Jacques
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Christina Vourakis
Neutral(s): Samuel H. Chorches, Eileen Devaney Leo, Mark Stuart Gurevitz
Hearing Site: Hartford, CT
Award FINRA 06/29/2020
20-00576
Claimant(s): Barbara Gordon, David Gordon
Claimant Representative(s): Barbara G. Gordon, David Gordon
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Brandy Pikus
Neutral(s): David L. Ruderman
Hearing Site: Wilmington, DE
Award FINRA 06/29/2020
19-02063
Claimant(s): Peter Neuberg
Claimant Representative(s): Sharron E. Ash
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Bryan David Glass, Jay Alan Kranis, Ron Greenfield
Hearing Site: Newark, NJ
Award FINRA 06/29/2020
18-01679
Claimant(s): Stephen Schroeder
Claimant Representative(s): Bradley D. Schnur
Respondent(s): Blake Kiernan
Respondent Representative(s): Blake H. Kiernan
Neutral(s): Mark L Miller, Charles G. Michaels, Robert Elman
Hearing Site: Omaha, NE
Award FINRA 06/29/2020
19-03802
Claimant(s): Nicholas Erwin
Claimant Representative(s): Therese L. Surprenant
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Paul D. Flack
Neutral(s): Thomas A. Martin
Hearing Site: Houston, TX
Award FINRA 06/26/2020