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Arbitration Awards Online

Displaying 46 - 60 of 57759
Award Document Case Summary Document Type Forum Date of Award
19-01004
Claimant(s): Hamilton Durning
Claimant Representative(s): Hamilton L. Durning
Respondent(s): TD Ameritrade, Inc.
Respondent Representative(s): Ilana Herscovitz Reid
Neutral(s): Louis M. Parker
Hearing Site: Phoenix, AZ
Award FINRA 09/06/2019
17-03465
Claimant(s): Norma Negrete
Claimant Representative(s): Imran H. Ansari
Respondent(s): Giovanni Narvaez, J.P. Morgan Securities, LLC, Mikal Haddad
Respondent Representative(s): Shipra K. Rege
Neutral(s): Martin A. Edelstein
Hearing Site: New York, NY
Award FINRA 09/06/2019
18-02714
Claimant(s): Andrew Jones
Claimant Representative(s): Andrew R. Park
Respondent(s): Patrick Teutonico, Wesley Clinton, Network 1 Financial Securities Inc.
Respondent Representative(s): Martin P. Unger
Neutral(s): Scott A. Schweber, Brandt Leonard Ross, George Pinckney Shingler
Hearing Site: Atlanta, GA
Award FINRA 09/06/2019
17-01632
Claimant(s): Andrew Firstman, Christian Cram, Mark Horncastle
Claimant Representative(s): Jessica A. Murzyn
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Representative(s): Janene Marasciullo
Neutral(s): Barbara Black, Birdel Franklin Jackson, Karen M Kassouf
Hearing Site: Atlanta, GA
Award FINRA 09/06/2019
18-04054
Claimant(s): Brian Lombardi
Claimant Representative(s): Joshua A. Katz
Respondent(s): IAA Financial, LLC
Respondent Representative(s): David Weinberger
Neutral(s): Jason Allen Rosner
Hearing Site: Boca Raton, FL
Award FINRA 09/06/2019
18-02773
Claimant(s): Scott Hultsman
Claimant Representative(s): Amir Tadjedin
Respondent(s): Eplanning Securities, Inc.
Respondent Representative(s): Timothy A. Menezes
Neutral(s): James R. Dickson, Jonathan H. Krotinger, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
Award FINRA 09/05/2019
18-04438
Claimant(s): David Yaccino
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Representative(s): C. Evan Stewart
Neutral(s): Walter Patrick Giblin
Hearing Site: Chicago, IL
Award FINRA 09/05/2019
18-04373
Claimant(s): Amanda Hinton
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
Award FINRA 09/05/2019
18-00528
Claimant(s): Hermann Spranger, Hermann Spranger, II IRA
Claimant Representative(s): Samuel B. Edwards
Respondent(s): Raymond, James & Associates, Inc.
Respondent Representative(s): Adam M. Wenner
Neutral(s): Patrick R. Sughroue, Terrance J. Dorcy, Mark Scarr
Hearing Site: Detroit, MI
Award FINRA 09/04/2019
18-01430
Claimant(s): Estate of Paula Zaring
Claimant Representative(s): George D. Jonson
Respondent(s): Amy McPike
Respondent Representative(s): Katie Zorc
Neutral(s): Harlita R. Tomlinson, Christy K. Radigan, Alexander Jay Brockmeier
Hearing Site: Cincinnati, OH
Award FINRA 09/04/2019
19-00671
Claimant(s): Rafael Rivera
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): Martin A. Feigenbaum
Hearing Site: San Juan, PR
Award FINRA 09/04/2019
19-00318
Claimant(s): Wesley Cumbie
Claimant Representative(s): Matthew Wolper
Respondent(s): MML Investors Services, LLC
Respondent Representative(s): William P. Thornton
Neutral(s): Maxel (Bud) B Silverberg
Hearing Site: Dallas, TX
Award FINRA 09/03/2019
18-04433
Claimant(s): Richard Hall
Claimant Representative(s): Dochtor Kennedy
Respondent(s): CUSO Financial Services, L.P.
Respondent Representative(s): Maria J. Seedner
Neutral(s): William W. Haskell
Hearing Site: Portland, OR
Award FINRA 09/03/2019
17-02284
Claimant(s): Cynthia Dahlstrom, Dana Proctor, David Dahlstrom, David D. Dahlstrom & Cynthia G.Dahlstrom
Claimant Representative(s): Anthony B. Bingham
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Ed Barkel
Neutral(s): I Douglas Dunipace, Loren Scott Buell, Jerome Allan Landau
Hearing Site: Phoenix, AZ
Award FINRA 08/30/2019
19-00905
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Robert B Ericson
Respondent(s): David Vigil
Respondent Representative(s): David Vigil
Neutral(s): Isidoro Berkman
Hearing Site: San Francisco, CA
Award FINRA 08/30/2019