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Arbitration Awards Online

Displaying 31 - 45 of 57759
Award Document Case Summary Document Type Forum Date of Award
19-00605
Claimant(s): Nicholas Sergio
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Brandy Pikus
Neutral(s): Robert E. Anderson
Hearing Site: Newark, NJ
Award FINRA 09/11/2019
19-00386
Claimant(s): Carl Gordinier
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Steven T. Stern
Hearing Site: Philadelphia, PA
Award FINRA 09/10/2019
19-00019
Claimant(s): Francesco Traina
Claimant Representative(s): Michelle M. Atlas
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Carl Shechter
Hearing Site: Boca Raton, FL
Award FINRA 09/10/2019
19-00164
Claimant(s): Timothy Werdel
Claimant Representative(s): Matthew Wolper
Respondent(s): Cuso Financial Services, L.P.
Respondent Representative(s): Maria J. Seedner
Neutral(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Award FINRA 09/10/2019
11-00134
Claimant(s): Constantine Demopoulos, Michael Fontaine
Claimant Representative(s): Jeffrey Liddle
Respondent(s): Deutsche Bank Securities, Inc., Deutsche Bank AG
Respondent Representative(s): Cliff Fonstein
Neutral(s): Ted M. Rosen, Mary Ellen Burns, Philip Rachmelowitz
Hearing Site: New York, NY
Award FINRA 09/09/2019
18-04411
Claimant(s): Kathleen Hobart
Claimant Representative(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Igor V. Stadnik
Neutral(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
Award FINRA 09/09/2019
19-00456
Claimant(s): Glenn Hechler
Claimant Representative(s): Craig Riha
Respondent(s): National Securities Corporation
Respondent Representative(s): Emily A. Hayes
Neutral(s): Howard L. Sobel
Hearing Site: New York, NY
Award FINRA 09/09/2019
19-00146
Claimant(s): Michael Rhodes
Claimant Representative(s): Michael Bessette
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Adam Kauff
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
Award FINRA 09/09/2019
19-00125
Claimant(s): Brian Luther
Claimant Representative(s): Megan S. Wright
Respondent(s): National Planning Corporation
Respondent Representative(s): Scott R. Forbush
Neutral(s): Thomas F. Mahoney, Charles G. Michaels, Bryan L. Johnson
Hearing Site: Omaha, NE
Award FINRA 09/09/2019
18-04064
Claimant(s): Michael Varga
Claimant Representative(s): Michael Varga
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Candice M. Capoziello
Neutral(s): Nanci Sondra Landy
Hearing Site: Boca Raton, FL
Award FINRA 09/09/2019
18-03661
Claimant(s): Bartlomiej Szkutnicki
Claimant Representative(s): James A. Klimek
Respondent(s): J.P. Morgan Securities, LLC
Respondent Representative(s): Jeffrey S. Dunlap
Neutral(s): Leonard Arthur Nelson, Richard A Young, Sharlee Cole Little
Hearing Site: Indianapolis, IN
Award FINRA 09/09/2019
18-02220
Claimant(s): Carol Chiarito
Claimant Representative(s): Joshua B. Kons
Respondent(s): Mutual Of Omaha Investor Services, Inc.
Respondent Representative(s): Patrick B. Griffin
Neutral(s): Ronald G. Guida, Richard Djokic, Michael Eugene Ford
Hearing Site: Denver, CO
Award FINRA 09/09/2019
18-01175
Claimant(s): Cary Grill
Claimant Representative(s): Cary Gill
Respondent(s): HSBC Securities (USA) Inc.
Respondent Representative(s): Daniel R. Korb
Neutral(s): Fred S. Pieroni, Robert R. Salman, Sidney Seligman
Hearing Site: Newark, NJ
Award FINRA 09/09/2019
19-00381
Claimant(s): Jeff Menning
Claimant Representative(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Representative(s): Noah D. Sorkin
Neutral(s): Herbert Liberman
Hearing Site: San Diego, CA
Award FINRA 09/06/2019
19-01398
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Representative(s): Travis Chapin
Respondent(s): David Kraft
Respondent Representative(s): David Wayne Kraft
Neutral(s): Bernard A. Becker
Hearing Site: Boca Raton, FL
Award FINRA 09/06/2019