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Arbitration Awards Online

Displaying 61 - 75 of 57759
Award Document Case Summary Document Type Forum Date of Award
19-00271
Claimant(s): Andrew 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): Marvin Kent Speigner
Hearing Site: Birmingham, AL
Award FINRA 08/30/2019
18-03720
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Gregory S. Tendrich
Respondent(s): Michael Fitch
Respondent Representative(s): Victor Bayata
Neutral(s): Ken Ziesenheim, Gerald Thomas Harper, Sidney Andrew Roman
Hearing Site: Orlando, FL
Award FINRA 08/30/2019
18-02518
Claimant(s): John Bach
Claimant Representative(s): John William Bach
Respondent(s): Harbor Financial Services, LLC
Respondent Representative(s): Mickey Wright
Neutral(s): Nelson E. Genshaft, Mark A. Sipper, Lonny Scott Elfenbein
Hearing Site: Birmingham, AL
Award FINRA 08/29/2019
18-00253
Claimant(s): Sandra Althaus, Sandra Althaus IRA, Sandra Althaus Roth IRA, Sandra Althaus SEP IRA
Claimant Representative(s): Ryan K. Bakhtiari
Respondent(s): TD Ameritrade Clearing, Inc., TD Ameritrade, Inc.
Respondent Representative(s): James J. Vihstadt
Neutral(s): Daniel M. Yamshon, David I. Levine, Michael Lancaster Garcia
Hearing Site: Reno, NV
Award FINRA 08/29/2019
18-01161
Claimant(s): Philip Montante IRA
Claimant Representative(s): Gary Menzer
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Patricia E. Cowart
Neutral(s): Theodore Haynes
Hearing Site: Orlando, FL
Award FINRA 08/29/2019
19-00390
Claimant(s): Ron Zimmermann
Claimant Representative(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Kathryn D. Perreault
Neutral(s): Susan M. Thevenet
Hearing Site: Denver, CO
Award FINRA 08/29/2019
18-01073
Claimant(s): Sean Stewart
Claimant Representative(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates, Inc.
Respondent Representative(s): Irwin Weltz, James Dolan
Neutral(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
Award FINRA 08/29/2019
18-02477
Claimant(s): Edelgard Hosmer Trust U/A dated 5/1/07, Edward J. Hosmer, Edward J. Hosmer Trust U/A dated 5/1/07
Claimant Representative(s): Andre R. Perron
Respondent(s): Stifel, Nicolaus & Co., Inc.
Respondent Representative(s): Marc S. Dobin
Neutral(s): Roger C. Benson, David M. Snyder, Richard Manuel Barcia
Hearing Site: Tampa, FL
Award FINRA 08/29/2019
18-04367
Claimant(s): Aaron Olson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Igor V. Stadnik
Neutral(s): Philip Aaron Tymon
Hearing Site: Seattle, WA
Award FINRA 08/29/2019
19-00047
Claimant(s): Mark Wilburn
Claimant Representative(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
Award FINRA 08/29/2019
19-00086
Claimant(s): Gordon Bryan
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets, Inc.
Respondent Representative(s): Patrick Christensen
Neutral(s): Tracy L. Allen
Hearing Site: Indianapolis, IN
Award FINRA 08/29/2019
19-00181
Claimant(s): Gary Burwick
Claimant Representative(s): Matthew E. Wolper
Respondent(s): RBC Capital Markets LLC
Respondent Representative(s): Maggie Goetze
Neutral(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
Award FINRA 08/29/2019
19-00270
Claimant(s): Matthew 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): James C. Hoover
Hearing Site: Atlanta, GA
Award FINRA 08/28/2019
18-04446
Claimant(s): Kent Balch
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Questar Capital Corporation
Respondent Representative(s): Jeffrey D. Hedlund
Neutral(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
Award FINRA 08/28/2019
18-04375
Claimant(s): Kenneth Corlett
Claimant Representative(s): Frances Menzer
Respondent(s): WFP Securities
Respondent Representative(s): John Schooler
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
Award FINRA 08/28/2019