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Arbitration Awards Online

Displaying 1 - 15 of 58274
Award Document Case Summary Document Type Forum Date of Award
18-00618
Claimant(s): Russell Chacon
Claimant Representative(s): David Liebrader
Respondent(s): Taylor Capital Management Inc.
Respondent Representative(s): Preston Spears
Neutral(s): Steven Meyrich
Hearing Site: Denver, CO
Award FINRA 01/24/2020
18-00351
Claimant(s): Samuel Adams
Claimant Representative(s): David E Rothstein
Respondent(s): Scottrade Inc.
Respondent Representative(s): Ashley Kutz Kelly
Neutral(s): Gregory D. Hoffmann, Patricia Ann Tracey, Bruce W. Bennett
Hearing Site: Columbia, SC
Award FINRA 01/23/2020
18-01151
Claimant(s): Garett Ceraso
Claimant Representative(s): Kevin T. Hoffman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Kenneth J. Turnbull
Neutral(s): Joseph R. Brancaleone, Martin L. Feinberg, Susan Manca
Hearing Site: New York, NY
Award FINRA 01/23/2020
19-01376
Claimant(s): Michael Boagni
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, LLC
Respondent Representative(s): Alan S. Brodherson
Neutral(s): C. Sumpter Logan
Hearing Site: New Orleans, LA
Award FINRA 01/23/2020
19-01331
Claimant(s): Jean-Matthieu Josse
Claimant Representative(s): Gregg J Breitbart
Respondent(s): A.G.P. / Alliance Global Partners, Aegis Capital Corp.
Respondent Representative(s): John Hitchings, Robert H. Decker
Neutral(s): Dan Brecher
Hearing Site: New York, NY
Award FINRA 01/22/2020
19-02719
Claimant(s): Ryan Carlson
Claimant Representative(s): Craig A. Riha
Respondent(s): Richard Brown
Respondent Representative(s): Richard Lyndon Brown
Neutral(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
Award FINRA 01/22/2020
17-01086
Claimant(s): Reuben Nemoto
Claimant Representative(s): Mitchell S. Wong
Respondent(s): Chirag Dave, Pacific Financial Partners LLC
Respondent Representative(s): Matthew C. Shannon
Neutral(s): Barbara M. Anscher, Christopher W. Allick, Michael Craig Butterworth
Hearing Site: Honolulu, HI
Award FINRA 01/22/2020
19-01066
Claimant(s): Jason Diaz
Claimant Representative(s): Tosh D Grebenik
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
Award FINRA 01/22/2020
19-00619
Claimant(s): Ronald Carson
Claimant Representative(s): Matt Wolper
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Philip J. Glick
Hearing Site: Omaha, NE
Award FINRA 01/21/2020
17-01639
Claimant(s): Angel Pagan, Windy Pagan, AW Investment Corp.
Claimant Representative(s): Lloyd R. Schwed
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Keith Olin
Neutral(s): Scott A. Schweber, Sam Gowin, Randy Jeff Branitsky
Hearing Site: San Juan, PR
Award FINRA 01/21/2020
19-00443
Claimant(s): Jose Medardo Burgos F, Maria Del Carmen G Burgos, Maria Medina-Luna Anaya
Claimant Representative(s): Kirk G. Smith
Respondent(s): Morgan Stanley
Respondent Representative(s): Simon Levy
Neutral(s): Jack Chapline Vaughan, William A. Allen, Allan R. Lazor
Hearing Site: Houston, TX
Award FINRA 01/21/2020
19-02939
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Thomas P. Dillon
Respondent(s): Kenneth Bolda
Respondent Representative(s): Kenneth Edward Bolda
Neutral(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
Award FINRA 01/21/2020
19-02601
Claimant(s): Daniel Pimental
Claimant Representative(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities Inc
Respondent Representative(s): Jeffrey A. Dunlap
Neutral(s): Denise L. Presley
Hearing Site: Boston, MA
Award FINRA 01/21/2020
19-02183
Claimant(s): Mikhail Filshtinskiy
Claimant Representative(s): Benjamin J. Biard
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Jamie J. Helman
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
Award FINRA 01/21/2020
19-00686
Claimant(s): Ronald Cameron
Claimant Representative(s): Richard T. Donovan
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Shepherd D. Tate
Neutral(s): James Paul Beachboard, Scott T. Clavenna, Julie Marie Miller
Hearing Site: Little Rock, AR
Award FINRA 01/21/2020