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Arbitration Awards Online

Displaying 91 - 105 of 57759
Award Document Case Summary Document Type Forum Date of Award
18-03999
Claimant(s): Ameriprise Financial Services, Inc.
Claimant Representative(s): Scott A La Porta
Respondent(s): Randolph George
Respondent Representative(s): Randolph William George
Neutral(s): Martin M. Berliner, Charles G. Michaels, Robert Burns Logan
Hearing Site: Denver, CO
Award FINRA 08/22/2019
18-03809
Claimant(s): Ashley Pagartanis
Claimant Representative(s): Ashley Pagartanis
Respondent(s): Lombard Securities Incorporated
Respondent Representative(s): Charles M. O'Rourke
Neutral(s): Brenda J. Stovall, Steven Irving Platt, George Thomas Doran
Hearing Site: Baltimore, MD
Award FINRA 08/22/2019
18-03319
Claimant(s): Thomas Mellish
Claimant Representative(s): Jason T Albin
Respondent(s): David Bartfeld, Edward Jones
Respondent Representative(s): Holly Stein Sollod
Neutral(s): Thaddeus J. Tecza, Ilene T. Gormly, Dennis C Moore
Hearing Site: Denver, CO
Award FINRA 08/22/2019
17-01674
Claimant(s): Richard Wagenfeld
Claimant Representative(s): Val D. Hornstein
Respondent(s): J.P. Morgan Securities, LLC, Securities America, Inc., Michael Long
Respondent Representative(s): Chad Weaver, Michael J. Charlillo
Neutral(s): Paul J. Dubow, Dean J. Dietrich, Jonathan Polland
Hearing Site: San Francisco, CA
Award FINRA 08/22/2019
18-03137
Claimant(s): Gail Higashi, Kevin Higashi
Claimant Representative(s): Lisa Anne Smith
Respondent(s): Jacob Kagele
Respondent Representative(s): Dennis A. Rosen
Neutral(s): Michael Kelley
Hearing Site: Phoenix, AZ
Award FINRA 08/21/2019
18-01429
Claimant(s): Harry Paez
Claimant Representative(s): Harry Paez
Respondent(s): Securities America, Inc.
Respondent Representative(s): Chad Weaver
Neutral(s): James A. Bush, John M Wilson, Thomas L. Marshall
Hearing Site: San Diego, CA
Award FINRA 08/21/2019
17-00486
Claimant(s): Alan Melton, Amy Stubler, Andrew Howard, Angela Beverly, Anthony Beard, Anthony Caminiti, Anton Jensen, Bertram Sanders, Brent McMillan, Catherine Druhan, Chris Stewart, Curtis Huffman, Cyrenna Welch, Daniel Stubler, Darin Arnold, David Jensen, David Myrick, Dolphus Broxton, Donald Barnes, Ebba Dampier, Evie Stewart, Gary Garner, Gary Schack, George Lee, Glenda Lee, Gregory Ames, Gregory Prescott, Gregory Strachan, H. Pitman, Heather Fadden, James Donaghey, James Stinebaugh, Jennifer Bender, Jere Miller, Joan Pitman, John Jones, Joseph Druhan, Judith Barnes, Keith Keppen, Kimberly Melton, Lacie Jensen, Laurie Miller, Lewis Abronski, Livingston Coate, Lori Hutchinson, Lundy Wilder, Martin Myrick, Michael Coleman, Michael Miller, Natalie McMillan, Patrick Daily, Philip Taber, Randy Couture, Raymond Miller, Rebecca Coate, Richard Beverly, Robin Coleman, Ronald Ori, Sharon Agapos, Susan Hamilton, Susan Rosson, Terri Myrick, Terry Welch, Theodore Dampier, Thomas Bender, Thomas Egbert, Thomas Fadden, Thomas Walters, Timothy Rosson, William March, William Stitt, William Stuart, Lewis B. Abronski as Trustee of Third, The Agapos Living Trust
Claimant Representative(s): Kalju Nekvasil
Respondent(s): WFG Investments, Inc.
Respondent Representative(s): David R. Clouston
Neutral(s): Lita S Menkin, Joe E. Manuel, John D. Mattingly
Hearing Site: Birmingham, AL
Award FINRA 08/21/2019
16-03017
Claimant(s): Mary Wojciechowski, Stanley Wojciechowski
Claimant Representative(s): Kenneth Catanzarite
Respondent(s): Gregory Teese, Kenneth Ehinger, Robert Sloan, Equity Services, Inc.
Respondent Representative(s): Derek C. Anderson
Neutral(s): Richard J. Grahn, William Norton, Edward W. Morris
Hearing Site: Providence, RI
Award FINRA 08/21/2019
17-03494
Claimant(s): Suzanne Takowsky, Suzanne Takowsky Rev Trust DTD 5/20/14
Claimant Representative(s): Jonathan W. Evans
Respondent(s): Morgan Stanley
Respondent Representative(s): Nicholas Y. Lin
Neutral(s): Barbara M. Zak, Pamela Jane Koslow, Erin Person
Hearing Site: Los Angeles, CA
Award FINRA 08/20/2019
19-00975
Claimant(s): AXA Advisors, LLC, AXA Network, LLC
Claimant Representative(s): Amanda Sotak
Respondent(s): Anthony Costanzo
Respondent Representative(s): Anthony L. Costanzo
Neutral(s): Elliott Finkel
Hearing Site: Los Angeles, CA
Award FINRA 08/20/2019
19-01285
Claimant(s): Lincoln Investment
Claimant Representative(s): Catherine M. Harper
Respondent(s): Richard Collins
Respondent Representative(s): Mark A. Weitz
Neutral(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
Award FINRA 08/20/2019
19-01211
Claimant(s): Bryan Stephens
Claimant Representative(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Omar Perez
Neutral(s): Howard D. Jacob
Hearing Site: New York, NY
Award FINRA 08/19/2019
19-00342
Claimant(s): Lee Thomson
Claimant Representative(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Patricia Beaujean Lehtola
Hearing Site: Dallas, TX
Award FINRA 08/19/2019
18-03100
Claimant(s): Louis Dissel
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Representative(s): Julie Calderon Rizzo
Neutral(s): Michael J. Meeusen
Hearing Site: Cleveland, OH
Award FINRA 08/19/2019
19-00876
Claimant(s): Sandra Barbato
Claimant Representative(s): Kristian P. Kraszewski
Respondent(s): Jeffrey Villwock, Lanier Securities, LLC
Respondent Representative(s): Jeffrey C. Villwock
Neutral(s): Gayle B. Carlson
Hearing Site: Orlando, FL
Award FINRA 08/19/2019