Skip to main content
Welcome to the new FINRA.org. Learn more about our updates.
Create your own user feedback survey

Arbitration Awards Online

Displaying 1 - 15 of 58010
Award Document Case Summary Document Type Forum Date of Award
18-02418
Claimant(s): Steven Bender
Claimant Representative(s): Steven L. Bender
Respondent(s): Dominick & Dickerman LLC
Respondent Representative(s): Jacqueline R. Meyers
Neutral(s): Keely D. Parr, Anna Lascar, John Warner Lowe
Hearing Site: New York, NY
Award FINRA 11/15/2019
17-01406
Claimant(s): Mark Sullivan, Richard Dellarusso
Claimant Representative(s): Robert R. Miller
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Representative(s): Stephen M. Kramarsky
Neutral(s): Mary Lou McGanney, Robert E. Anderson, Jay F. Frascella
Hearing Site: New York, NY
Award FINRA 11/14/2019
19-01613
Claimant(s): Jerry Etter
Claimant Representative(s): Scott Etter
Respondent(s): Todd Hasie
Respondent Representative(s): Eric Chen
Neutral(s): Joseph Neal Richardson
Hearing Site: Dallas, TX
Award FINRA 11/14/2019
19-00840
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Timothy N Will
Respondent(s): Ruben Cavada
Respondent Representative(s): Ruben Cavada
Neutral(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
Award FINRA 11/14/2019
19-01436
Claimant(s): Cambridge Investment Research, Inc.
Claimant Representative(s): Bryce Shelman
Respondent(s): Kevin Johnson
Respondent Representative(s): Kevin L. Johnson
Neutral(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
Award FINRA 11/14/2019
19-00411
Claimant(s): Robert Rose
Claimant Representative(s): Frances Menzer
Respondent(s): Morgan Stanley DW Inc.
Respondent Representative(s): Nicholas N. George
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
Award FINRA 11/14/2019
17-00904
Claimant(s): Juan Angel Rodriguez, Myriam Gonzalez
Claimant Representative(s): Lawrence Bradley Hancock
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jack D. Ballard
Neutral(s): Maryanne M. Esser, Malcolm Edwin Whittaker, Allan R. Lazor
Hearing Site: Houston, TX
Award FINRA 11/13/2019
18-03683
Claimant(s): Estate of Ava Nell Harris
Claimant Representative(s): Steven P. Harrelson
Respondent(s): Edward Jones, Joshua Tice
Respondent Representative(s): Jay Bequette
Neutral(s): James A. Parker
Hearing Site: Little Rock, AR
Award FINRA 11/13/2019
18-02479
Claimant(s): Betsy Hoffman
Claimant Representative(s): Betsy Hoffman
Respondent(s): Morgan Stanley
Respondent Representative(s): Jeremy S. Winer
Neutral(s): Julian F. Santos, Edward S. Hill, Christine H Barrington
Hearing Site: Hartford, CT
Award FINRA 11/13/2019
19-00130
Claimant(s): Joseph Glodek
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation, William Scott & Co. L.L.C.
Respondent Representative(s): Fred N. Knopf, Robert C. Hess
Neutral(s): Veronica Ann Williams
Hearing Site: Newark, NJ
Award FINRA 11/13/2019
19-00353
Claimant(s): Peter Klein
Claimant Representative(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Richard W. Cutler, Howard D. Jacob, Emily M. Altman
Hearing Site: New York, NY
Award FINRA 11/13/2019
19-00730
Claimant(s): Carlos Pou
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Roberto C. Quinones-Rivera
Neutral(s): Seth L. Finkel
Hearing Site: San Juan, PR
Award FINRA 11/13/2019
19-01309
Claimant(s): Regina Bernarduci
Claimant Representative(s): Michael Bessette
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Denise L. Presley
Hearing Site: Boston, MA
Award FINRA 11/13/2019
17-01139
Claimant(s): Denise Kappel
Claimant Representative(s): Jack Samuel Tenenbaum
Respondent(s): Asher Wolmark, William Vellon, Kingsbury Capital Investment AdvisorsLLC, Kingsbury Capital Securities Inc, Kingsbury Capital, Inc., Kingsbury, LLC
Respondent Representative(s): Corporate Office, Nicholas P. Iavarone, William Vellon
Neutral(s): Ray J. Grzebielski, Thomas P. Valenti, Courtney Paige Delaney
Hearing Site: Chicago, IL
Award FINRA 11/12/2019
18-01527
Claimant(s): José F. Ortiz Vázquez IRA, José F. Ortiz Vázquez & Sandra M. García
Claimant Representative(s): Eric Quetglas Jordan, Luis E. Miñana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Guillermo J. Bobonis
Neutral(s): David Edward Upton, Richard H. Porter, Frank V. Tutone
Hearing Site: San Juan, PR
Award FINRA 11/12/2019