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Arbitration Awards Online

Displaying 1 - 15 of 58921
Award Document Case Summary Document Type Forum Date of Award
17-00237
Claimant(s): J.P. Morgan Securities, LLC
Claimant Representative(s): Eugene Small
Respondent(s): John Uriostegui, Rod Nakamoto
Respondent Representative(s): Leonard Steiner
Neutral(s): Ronald L. Cameron, Michael M. Hachigian, Marc S. Joseph
Hearing Site: Los Angeles, CA
Award FINRA 08/06/2020
19-03715
Claimant(s): Gonzalo Castano, Miguel Carrillo
Claimant Representative(s): Joelle A. Simms
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Stuart Rebish
Neutral(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
Award FINRA 08/05/2020
19-01377
Claimant(s): Gary Gilbert
Claimant Representative(s): F. Chet Taylor
Respondent(s): Capital Financial Services, Inc.
Respondent Representative(s): Gordon Dihle
Neutral(s): Frederick Ramos, Robert Drae Venters, Steven Mark Bell
Hearing Site: Minneapolis, MN
Award FINRA 08/05/2020
19-03731
Claimant(s): Abbas Elcheikhali
Claimant Representative(s): Stephen M. Sammarro
Respondent(s): SogoTrade, Inc.
Respondent Representative(s): Robert J. Benbenek
Neutral(s): Louis H Miron
Hearing Site: Newark, NJ
Award FINRA 08/04/2020
19-00657
Claimant(s): Lawrence Mickle
Claimant Representative(s): Joshua A Katz
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stephen M. Cox
Neutral(s): Michael J. Ahlstrom, Christopher Cecil Lamb, Janice Helsley Blach
Hearing Site: Columbia, SC
Award FINRA 08/03/2020
18-03722
Claimant(s): Kenneth Margolis, Richard Luftig, Castle Placement Group, LLC, Castle Placement, LLC
Claimant Representative(s): James Halter
Respondent(s): Citadel Servicing Corporation
Respondent Representative(s): Chetna Vora
Neutral(s): Thomas Allan Dubbs, Peter A. Goldman, Ronald Harris Kisner
Hearing Site: New York, NY
Award FINRA 08/03/2020
20-00805
Claimant(s): John Prymak
Claimant Representative(s): John Prymak
Respondent(s): Joseph Kelly, Spartan Capital Securities, LLC
Respondent Representative(s): Joseph Kelly, Kim Monchik
Neutral(s): Anita Rae Shapiro
Hearing Site: Denver, CO
Award FINRA 08/03/2020
20-00241
Claimant(s): Edwin Lee
Claimant Representative(s): Edwin Lee
Respondent(s): Motif Investing, Inc.
Respondent Representative(s): Robert Salvador
Neutral(s): Janet Thomas Johnson
Hearing Site: Washington, DC
Award FINRA 08/03/2020
19-03708
Claimant(s): Carolyn DiPrinzio
Claimant Representative(s): Dochtor Kennedy
Respondent(s): BI Investments, LLC
Respondent Representative(s): Gregg Breitbart
Neutral(s): Jane C. Carney
Hearing Site: Washington, DC
Award FINRA 07/31/2020
20-00919
Claimant(s): Joseph Coccimiglio
Claimant Representative(s): Joseph Coccimiglio
Respondent(s): James Dillon, UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Martin A. Feigenbaum
Hearing Site: Boca Raton, FL
Award FINRA 07/31/2020
20-00390
Claimant(s): Gregory Scott
Claimant Representative(s): Brian Luther
Respondent(s): Morgan Keegan & Company, LLC, Raymond James Financial Services, Inc.
Respondent Representative(s): Robert M. Rudnicki
Neutral(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
Award FINRA 07/30/2020
20-00645
Claimant(s): Gregory Scott
Claimant Representative(s): Brian Luther
Respondent(s): Morgan Keegan & Company, LLC, Raymond James Financial Services, Inc.
Respondent Representative(s): Robert M. Rudnicki
Neutral(s): Maurice M. Feller
Hearing Site: Jacksonville, FL
Award FINRA 07/30/2020
19-03650
Claimant(s): Thane Walton
Claimant Representative(s): Tosh D Grebenik
Respondent(s): Mutual Service Corporation
Respondent Representative(s): David Freniere
Neutral(s): William Michael Samsel
Hearing Site: San Francisco, CA
Award FINRA 07/29/2020
20-00991
Claimant(s): George Miz
Claimant Representative(s): George S. Miz
Respondent(s): Donald Wojnowski
Respondent Representative(s): Donald Anthony Wojnowski
Neutral(s): Michael Nathanson
Hearing Site: Chicago, IL
Award FINRA 07/29/2020
20-01159
Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Representative(s): Patrick J. Bradley
Respondent(s): Roger Graham
Respondent Representative(s): Roger Ainsworth Graham
Neutral(s): Michael Louis Goldstone
Hearing Site: Houston, TX
Award FINRA 07/29/2020