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Arbitration Awards Online

Displaying 1 - 15 of 58714
Award Document Case Summary Document Type Forum Date of Award
19-03489
Claimant(s): Ross Feigen
Claimant Representative(s): Maryana Feigen
Respondent(s): RBC Capital Markets LLC
Respondent Representative(s): Tiana M. Towns
Neutral(s): Paul Allan Massaro
Hearing Site: Newark, NJ
Award FINRA 05/29/2020
19-03402
Claimant(s): Robert Blakely
Claimant Representative(s): Brandon M. Taaffe
Respondent(s): Securian Financial Services, Inc.
Respondent Representative(s): Gavin F. Quill
Neutral(s): John P. Cullem, Charles K. ReCorr, Joseph A Newcomb
Hearing Site: Raleigh, NC
Award FINRA 05/29/2020
20-00297
Claimant(s): Theodore Longo
Claimant Representative(s): Jennifer Willey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Lynne M. Gomez, Brian P. Jakes, Eric M. Schorr
Hearing Site: New Orleans, LA
Award FINRA 05/29/2020
20-00581
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Tracey Salmon-Smith
Respondent(s): Nelson Polun
Respondent Representative(s): Nelson M. Polun
Neutral(s): Elliot B. Platt
Hearing Site: Baltimore, MD
Award FINRA 05/29/2020
19-02241
Claimant(s): Jerry Wells
Claimant Representative(s): Daniel D'Costa
Respondent(s): Jamie Worden, Louis Ambrosio, Worden Capital Management LLC
Respondent Representative(s): Michael Utilla
Neutral(s): Douglas Wade Carvell
Hearing Site: Dallas, TX
Award FINRA 05/29/2020
19-03843
Claimant(s): Darren Nomberg, Gerard Crean
Claimant Representative(s): Michael Shannon
Respondent(s): David Lerner Associates, Inc.
Respondent Representative(s): Amalia Chin
Neutral(s): Carl Shechter
Hearing Site: Boca Raton, FL
Award FINRA 05/29/2020
19-03699
Claimant(s): Keith Kepley
Claimant Representative(s): Russ Ferguson
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Patricia H. Latham
Hearing Site: Charlotte, NC
Award FINRA 05/28/2020
19-01405
Claimant(s): The Seitz 2000 Descendants Trust
Claimant Representative(s): Robert L. Gonser
Respondent(s): Robert Fenton, Centaurus Financial, Inc.
Respondent Representative(s): Kendra S. Canape
Neutral(s): Susan B. Gans-Smith, Noel Harvey Applebaum, Loyd A Wright
Hearing Site: Los Angeles, CA
Award FINRA 05/28/2020
20-00539
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Kip A. Nesmith
Respondent(s): David Cavender
Respondent Representative(s): David Odell Cavender
Neutral(s): Muriel Desloovere
Hearing Site: Nashville, TN
Award FINRA 05/28/2020
19-02515
Claimant(s): Heather Lewis
Claimant Representative(s): Trent M Latta
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Joseph C. Roberts, Robert E. Meston, Kenneth James Pedersen
Hearing Site: Seattle, WA
Award FINRA 05/27/2020
19-03133
Claimant(s): Lisa Detanna
Claimant Representative(s): Scott Rahn
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Robert M. Rudnicki
Neutral(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
Award FINRA 05/27/2020
19-02657
Claimant(s): Marc Seeherman
Claimant Representative(s): Benjamin J. Biard
Respondent(s): VSR Financial Services, Inc.
Respondent Representative(s): Jeremy Carr
Neutral(s): Ted M. Rosen
Hearing Site: New York, NY
Award FINRA 05/27/2020
19-03744
Claimant(s): Robert Lucarelli
Claimant Representative(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard Klausmeier
Neutral(s): Thomas M. Madden
Hearing Site: Hartford, CT
Award FINRA 05/27/2020
19-01927
Claimant(s): David Moore, David L. Moore IRA
Claimant Representative(s): Gary Mark Brewer
Respondent(s): E*Trade Securities LLC
Respondent Representative(s): Ryan S. Lean
Neutral(s): Joyce L. Hurley, Alan M. Rosen, Robert C. Albini
Hearing Site: Los Angeles, CA
Award FINRA 05/27/2020
19-02724
Claimant(s): Thomas Chimirri
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Touchstone Securities, Inc.
Respondent Representative(s): Barry D. Hunter
Neutral(s): Samuel H. Chorches
Hearing Site: Hartford, CT
Award FINRA 05/26/2020