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Arbitration Awards Online

Displaying 1 - 15 of 59127
Award Document Case Summary Document Type Forum Date of Award
20-01008
Claimant(s): Sean Kilmartin
Claimant Representative(s): Alex H. Kilmartin
Respondent(s): Dickinson & Co.
Respondent Representative(s): Nancy Van Hauen
Neutral(s): Joyce A. Mitchell
Hearing Site: Charlotte, NC
Award FINRA 10/16/2020
20-00592
Claimant(s): Dominick Dibona
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Abigail D. Elrod
Neutral(s): Robert E. Anderson
Hearing Site: New York, NY
Award FINRA 10/16/2020
19-03472
Claimant(s): Bradley Stover
Claimant Representative(s): Jennifer Tarr
Respondent(s): Wesley Wallace
Respondent Representative(s): Wesley S. Wallace
Neutral(s): R Lee Britton
Hearing Site: Oklahoma City, OK
Award FINRA 10/16/2020
20-01060
Claimant(s): Dean Nowak
Claimant Representative(s): Harris Freedman
Respondent(s): Taylor Capital Management Inc.
Respondent Representative(s): Preston Spears
Neutral(s): Mitchel Weiss
Hearing Site: Orlando, FL
Award FINRA 10/16/2020
20-01205
Claimant(s): World Century Corp Ltd, World International Limited Partnership
Claimant Representative(s): Michael Ford
Respondent(s): Pershing LLC, Citigroup Global Markets, Inc.
Respondent Representative(s): Joan Schwartz, Tanya S. Lambrechts
Neutral(s): David Rich
Hearing Site: Boca Raton, FL
Award FINRA 10/16/2020
17-00728
Claimant(s): The Estate of Kenneth J. Meade
Claimant Representative(s): Steven G. Legum
Respondent(s): John Conroy, Andrew Garrett Inc.
Respondent Representative(s): Barry M. Bordetsky
Neutral(s): LeRoy Melvin Gilbertson, Kenneth L. Mann, William B. Morgan
Hearing Site: Phoenix, AZ
Award FINRA 10/16/2020
20-00927
Claimant(s): Anita Brennan, Marina Tudela
Claimant Representative(s): Roberto C. Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Rey F. Medina Velez
Neutral(s): Elena G. Rodriguez
Hearing Site: San Juan, PR
Award FINRA 10/16/2020
20-00263
Claimant(s): Cynthia Couyoumjian
Claimant Representative(s): Michael Bessette
Respondent(s): Independent Financial Group, LLC.
Respondent Representative(s): Sarah J. Kreisman
Neutral(s): Robert B. Hansohn
Hearing Site: Los Angeles, CA
Award FINRA 10/15/2020
19-01511
Claimant(s): Charlotte Chase
Claimant Representative(s): John M. Petrisek
Respondent(s): David Smith, Donald Smith, Provident Private Capital Partners, Inc.
Respondent Representative(s): Eric J. Purchase, G. Clinton Kelley
Neutral(s): Robert J. Scafuri, Kenneth Alan Eisner, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
Award FINRA 10/14/2020
19-02998
Claimant(s): Teresa Valdez, Teresa Valdez IRA
Claimant Representative(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Ryan S. Lean
Neutral(s): Alan Stamm, Susan B. Gans-Smith, Daniel A. Seiver
Hearing Site: Los Angeles, CA
Award FINRA 10/14/2020
20-00428
Claimant(s): Sylvester Knox
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
Award FINRA 10/14/2020
20-00465
Claimant(s): Frankie Brin
Claimant Representative(s): Harris Freedman
Respondent(s): Voya Financial Advisors, Inc.
Respondent Representative(s): Benjamin J. Biard
Neutral(s): Gerald Thomas Harper
Hearing Site: Orlando, FL
Award FINRA 10/13/2020
20-01127
Claimant(s): Dustin Elliott
Claimant Representative(s): Zachary Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Demian J. Betz
Neutral(s): G. Maynard Green
Hearing Site: Houston, TX
Award FINRA 10/12/2020
20-00482
Claimant(s): Robert Warther
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Kevin R. Zehe
Hearing Site: Cleveland, OH
Award FINRA 10/12/2020
19-00409
Claimant(s): Kamala Cherukuri, Subbarao Venkata Cherukuri
Claimant Representative(s): Subbaro V. Cherukuri
Respondent(s): TD Ameritrade, Inc., Paul Phillips
Respondent Representative(s): Ilana H. Reid
Neutral(s): Jerry H. Friedland, Jay H. Feldstein, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
Award FINRA 10/09/2020