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Arbitration Awards Online

Displaying 16 - 30 of 57759
Award Document Case Summary Document Type Forum Date of Award
18-02957
Claimant(s): James Besarkarski
Claimant Representative(s): Jennifer Tarr
Respondent(s): Demitry Portnoy, Joseph Alagna, Justin Giannillo, Ryan Vernoia, Stephan Stein, Steven Singer, Joseph Gunnar & Co. LLC
Respondent Representative(s): John E. Lawlor, Justin Giannillo, Ryan Anthony Vernoia
Neutral(s): Steven T. Stern
Hearing Site: New York, NY
Award FINRA 09/13/2019
19-00129
Claimant(s): Joseph Glodek
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): William Scott & Co. L.L.C.
Respondent Representative(s): Robert Hess
Neutral(s): Jay Alan Kranis
Hearing Site: Newark, NJ
Award FINRA 09/13/2019
17-00537
Claimant(s): Robert LaPolla
Claimant Representative(s): Jennifer Tarr
Respondent(s): Garland James
Respondent Representative(s): Garland Sean James
Neutral(s): Michael H DuBoff
Hearing Site: New York, NY
Award FINRA 09/13/2019
19-00269
Claimant(s): Michael Kilpatrick
Claimant Representative(s): Richard S. Frankowski
Respondent(s): Gregory Crance, Oneamerica Securities, Inc.
Respondent Representative(s): Emily Sides Bonds, Julie Wilson Portera
Neutral(s): David Edward Upton
Hearing Site: Norfolk, VA
Award FINRA 09/13/2019
19-00014
Claimant(s): Derek Myron
Claimant Representative(s): Frances Menzer
Respondent(s): Caplink Securities, Inc
Respondent Representative(s): Scott L. Dahle
Neutral(s): Herbert Liberman
Hearing Site: San Diego, CA
Award FINRA 09/12/2019
18-00565
Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Representative(s): John P. Leonard
Respondent(s): Alexander DiMartini
Respondent Representative(s): Dennis Houdek
Hearing Site: New York, NY
Award FINRA 09/12/2019
18-04383
Claimant(s): Todd Mitchell
Claimant Representative(s): Daniel J. Donovan
Respondent(s): Janney Montgomery Scott LLC
Respondent Representative(s): Jill B. Clarke
Neutral(s): Brenda J. Stovall
Hearing Site: Baltimore, MD
Award FINRA 09/12/2019
19-00160
Claimant(s): Riad Shanawany
Claimant Representative(s): Harris Freedman
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Gerry A. Giurato
Neutral(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
Award FINRA 09/11/2019
19-01059
Claimant(s): Paul Mante
Claimant Representative(s): Alex R. Schmidt
Respondent(s): The GMS Group, LLC
Respondent Representative(s): Timothy Donohue
Neutral(s): Robert E. Anderson
Hearing Site: Newark, NJ
Award FINRA 09/11/2019
18-03141
Claimant(s): Betty Bailey, Betty Bailey IRA
Claimant Representative(s): David W. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Paul D. Flack
Neutral(s): Lynne M. Gomez, Camille Morris Tankersley, Heather Gaile Layton
Hearing Site: Houston, TX
Award FINRA 09/11/2019
18-02745
Claimant(s): Isidro Miramontes
Claimant Representative(s): David Harrison
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Timothy L. Moore
Neutral(s): Andrew M. Mintzer
Hearing Site: Los Angeles, CA
Award FINRA 09/11/2019
16-03359
Claimant(s): Thomas Carney
Claimant Representative(s): William R. Lindsley
Respondent(s): Wells Fargo Advisors, LLC
Respondent Representative(s): Kevin J. Woods
Neutral(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli
Hearing Site: San Francisco, CA
Award FINRA 09/11/2019
18-03907
Claimant(s): Gavin Kerby
Claimant Representative(s): Gavin Kerby
Respondent(s): Charles Schwab & Co., Inc.
Respondent Representative(s): Anthony L. Valenzuela
Neutral(s): Thaddeus J. Tecza, Ronald G. Guida, Mary Margaret Bush
Hearing Site: Salt Lake City, UT
Award FINRA 09/11/2019
18-04358
Claimant(s): Wayne Wagner
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Louis H Miron
Hearing Site: Wilmington, DE
Award FINRA 09/11/2019
18-04359
Claimant(s): Matthew Bradley
Claimant Representative(s): Harris Freedman
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Representative(s): David M. Purcell
Neutral(s): Constance Ellen Boukidis
Hearing Site: Los Angeles, CA
Award FINRA 09/11/2019