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Arbitration Awards Online

Displaying 76 - 90 of 57759
Award Document Case Summary Document Type Forum Date of Award
18-01899
Claimant(s): James Porz
Claimant Representative(s): Paul W. Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Jacqueline R. Meyers
Neutral(s): Harvey Barrison, Philip J De Bellis, Patricia Kathleen Costello
Hearing Site: New York, NY
Award FINRA 08/28/2019
17-00770
Claimant(s): Kessev Tov LLC
Claimant Representative(s): David W. Miller
Respondent(s): Interactive Brokers LLC
Respondent Representative(s): David Luger
Neutral(s): Mark R. Topper, Mitchel Weiss, Anthony Ruben
Hearing Site: Orlando, FL
Award FINRA 08/28/2019
17-01439
Claimant(s): Robert Ryder
Claimant Representative(s): Craig R. Weis
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Stuart D. Roberts
Neutral(s): Martin A. Edelstein
Hearing Site: New York, NY
Award FINRA 08/27/2019
19-00469
Claimant(s): Sonia Pou
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): Stuart K. Furman
Hearing Site: San Juan, PR
Award FINRA 08/27/2019
19-00023
Claimant(s): Edward Fox
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services, Inc.
Respondent Representative(s): Howard M. Klausmeier
Neutral(s): Susanne J. Hollander
Hearing Site: Milwaukee, WI
Award FINRA 08/27/2019
18-04379
Claimant(s): Alexandro Filippini, Iaian Filippini
Claimant Representative(s): Michael Bessette
Respondent(s): Eplanning Securities, Inc.
Respondent Representative(s): Joseph Ehrlich
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
Award FINRA 08/26/2019
19-00319
Claimant(s): Kevin Engbers
Claimant Representative(s): Matthew E. Wolper
Respondent(s): Waddell & Reed
Respondent Representative(s): Jason A. Kempf
Neutral(s): Susan L. Walker
Hearing Site: Omaha, NE
Award FINRA 08/26/2019
19-00152
Claimant(s): David Keator
Claimant Representative(s): Peter F Flynn
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Representative(s): Michael Naccarato
Neutral(s): Martin A. Edelstein
Hearing Site: Albany, NY
Award FINRA 08/26/2019
17-02050
Claimant(s): Adilia Beam, The Estate of Monte Beam
Claimant Representative(s): Alan L. Rosca
Respondent(s): Jon Tribbel, Conover Securities Corporation
Respondent Representative(s): Gary S. Kessler
Neutral(s): Louis J. Weber, Nicole T. LeBoeuf, Lawrence R. Maxwell
Hearing Site: Dallas, TX
Award FINRA 08/24/2019
19-00256
Claimant(s): Chad Andrews
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): Raymond James Financial Services, Inc.
Respondent Representative(s): Stanton A. Fears
Neutral(s): Barry Goldman
Hearing Site: Des Moines, IA
Award FINRA 08/23/2019
19-00589
Claimant(s): Xavier Aguayo Diaz
Claimant Representative(s): Linette Figueroa-Torres
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Roberto Quinones Rivera
Neutral(s): Martin A. Feigenbaum
Hearing Site: San Juan, PR
Award FINRA 08/23/2019
18-03914
Claimant(s): Clayton Holcomb
Claimant Representative(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Thomas F. Barnett
Neutral(s): David I. Levine
Hearing Site: San Francisco, CA
Award FINRA 08/23/2019
18-03605
Claimant(s): Mary Harger
Claimant Representative(s): Victor J. Segale
Respondent(s): Collin Fingon, Cetera Advisors LLC
Respondent Representative(s): Steven N. Fuller
Neutral(s): John James McGovern
Hearing Site: Montpelier, VT
Award FINRA 08/23/2019
18-01779
Claimant(s): George Arthur
Claimant Representative(s): Scott L. Silver
Respondent(s): Worden Capital Management, LLC
Respondent Representative(s): Michael C. Farkas
Neutral(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen
Hearing Site: Boca Raton, FL
Award FINRA 08/23/2019
18-01779
Claimant(s): George Arthur
Claimant Representative(s): Scott L. Silver
Respondent(s): Worden Capital Management, LLC
Respondent Representative(s): Michael C. Farkas
Neutral(s): Mark C. Perry, Sydney E. Blum, Thomas W. Allen
Hearing Site: Boca Raton, FL
Award FINRA 08/23/2019