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Arbitration Awards Online

Displaying 1 - 15 of 57759
Award Document Case Summary Document Type Forum Date of Award
19-01520
Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Representative(s): Alan S. Brodherson
Respondent(s): Steven Silverthorne
Respondent Representative(s): Steven M. Silverthorne
Neutral(s): Edward W. Morris
Hearing Site: Newark, NJ
Award FINRA 09/17/2019
15-03186
Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Representative(s): Stephen M Kramarsky
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Carl Mills
Neutral(s): Leonard M. Bakal, Susan E. Harkins, Margaret Else Nelson
Hearing Site: New York, NY
Award FINRA 09/17/2019
18-00162
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Thomas B. Lewis
Respondent(s): Joseph Shimko
Respondent Representative(s): Christopher Kammerer
Neutral(s): Ellen J. Abrams, Thomas W. Allen, William Dennis Ferguson
Hearing Site: Boca Raton, FL
Award FINRA 09/17/2019
19-01270
Claimant(s): Rogelio Silva
Claimant Representative(s): Rogelio Silva
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): David I. Hantman
Neutral(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
Award FINRA 09/17/2019
18-04037
Claimant(s): Erinn Ford
Claimant Representative(s): Amir Tadjedin
Respondent(s): Cetera Advisors LLC, Pacific West Securities, Inc.
Respondent Representative(s): Jeremy Carr, Tony Pizelo
Neutral(s): Donald N. Tolin
Hearing Site: Denver, CO
Award FINRA 09/16/2019
19-00995
Claimant(s): Scott Genzman
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Pruco Securities, LLC.
Respondent Representative(s): Alan S. Brodherson
Neutral(s): I Douglas Dunipace
Hearing Site: Phoenix, AZ
Award FINRA 09/16/2019
17-02974
Claimant(s): Diana Peterson
Claimant Representative(s): Michael C. Mahoney
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Marko J. Mrkonich
Neutral(s): Roger George Lindquist, Peter N. Thompson, Nell Mathews
Hearing Site: Minneapolis, MN
Award FINRA 09/16/2019
18-04389
Claimant(s): Jeff Davis
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Representative(s): Timothy L. Moore
Neutral(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
Award FINRA 09/16/2019
18-00497
Claimant(s): Guity Javid, Negeen Dehesh, Guity Javid Trust, Negeen Dehesh Trust
Claimant Representative(s): Grant B. Gelberg
Respondent(s): Aldo Lozano, Mark Panfil, RBC Capital Markets LLC
Respondent Representative(s): David Harrison, Michael M. Gless
Neutral(s): Edward A. Trabin, Mary M. O'Neil, Audrey Lynne Myer
Hearing Site: Los Angeles, CA
Award FINRA 09/16/2019
18-04058
Claimant(s): John Cartolano
Claimant Representative(s): Robert D. Mitchell
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Marcia A. Herrmann, Michael Kelley, Ernst Janensch
Hearing Site: Phoenix, AZ
Award FINRA 09/16/2019
19-00048
Claimant(s): Thomas Davis
Claimant Representative(s): Dochtor Kennedy
Respondent(s): American Independent Securities Group, L
Respondent Representative(s): W. Gregory Lockwood
Neutral(s): Daniel B. MacLeod
Hearing Site: Portland, OR
Award FINRA 09/16/2019
19-00835
Claimant(s): Austin Frye
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplan
Neutral(s): Mark C. Perry
Hearing Site: Boca Raton, FL
Award FINRA 09/13/2019
18-04071
Claimant(s): John Moy
Claimant Representative(s): Jennifer Willey
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Michael Naccarato
Neutral(s): David L. Ruderman, Marian Smith Glenn, Joan M. Smith
Hearing Site: Baltimore, MD
Award FINRA 09/13/2019
18-04087
Claimant(s): Carlos Martinangeli
Claimant Representative(s): David C. Silver
Respondent(s): Gonzalo Perez-Verdia, Citigroup Global Markets, Inc.
Respondent Representative(s): Scott W. Atherton
Neutral(s): Robert G. Geeseman, Linda M. Foster-Wells, Paul J. Burkhart
Hearing Site: Boca Raton, FL
Award FINRA 09/13/2019
16-03665
Claimant(s): Gerald Sharpe
Claimant Representative(s): John E. Lawlor
Respondent(s): David Levine, David Rich, Glenn Worman, National Securities Corporation, Robert Fagenson
Respondent Representative(s): Richard Roth
Neutral(s): Robert J. McDonnell, Marvin L. Schuldiner, Paul G. Garjian
Hearing Site: Newark, NJ
Award FINRA 09/13/2019