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Arbitration Awards Online

Displaying 106 - 120 of 57759
Award Document Case Summary Document Type Forum Date of Award
17-02354
Claimant(s): Cynthia Blasini, Jose Blanco Garrido, Maria Blanco Alvarado, Jostoche Associates, S.E., Jose E. Blanco Blasini Trust
Claimant Representative(s): Robert W. Pearce
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Representative(s): Leslie Flores, Peter S. Fruin
Neutral(s): Cheryl E. Winton, Richard J. Kaplan, Karen J. Orlin
Hearing Site: San Juan, PR
Award FINRA 08/19/2019
19-00094
Claimant(s): Tina Matthews
Claimant Representative(s): Tosh Grebenik
Respondent(s): Sagepoint Financial, Inc.
Respondent Representative(s): James Noblett
Neutral(s): James A. Parker
Hearing Site: Houston, TX
Award FINRA 08/19/2019
18-04409
Claimant(s): Theodore Durante
Claimant Representative(s): Dochtor Kennedy MBA, J.D.
Respondent(s): The Prudential Insurance Company Of Amer
Respondent Representative(s): Alan S. Brodherson
Neutral(s): Diane Ciccone
Hearing Site: Philadelphia, PA
Award FINRA 08/19/2019
18-04182
Claimant(s): Brian Lawrence
Claimant Representative(s): John C. Anjier
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Jonathan C. Schwartz
Neutral(s): Mark A. Myers
Hearing Site: New Orleans, LA
Award FINRA 08/19/2019
18-03891
Claimant(s): Ann De Jong, Wildchild Spendthrift DTD 7/29/16 Trust
Claimant Representative(s): Benjamin Edwards
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Michael Naccarato
Neutral(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
Award FINRA 08/19/2019
18-02681
Claimant(s): Mark Gilbert
Claimant Representative(s): Stuart H. Singer
Respondent(s): Brian Lowenthal, Eileen Berman
Respondent Representative(s): Jonathan B. Butler
Neutral(s): Joseph J. Slotnik, Bruce K. Isenberg, Robert J. Buchner
Hearing Site: Boca Raton, FL
Award FINRA 08/16/2019
19-00363
Claimant(s): Kurt Sylvia
Claimant Representative(s): Brian D. Buckstein
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Patricia E. Cowart
Hearing Site: Boca Raton, FL
Award FINRA 08/16/2019
18-04436
Claimant(s): Stuart Buck
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Representative(s): C. Evan Stewart
Neutral(s): Philip J. Glick
Hearing Site: Chicago, IL
Award FINRA 08/16/2019
18-04434
Claimant(s): Chad Henry
Claimant Representative(s): Bryan M. Ward
Respondent(s): Robert W. Baird & Co. Incorporated, Ameriprise Financial Services, Inc., Sigma Financial Corporation
Respondent Representative(s): Howard M. Klausmeier, Paul Schultz, Randolph F. Pistor
Neutral(s): Steven H. Vogel
Hearing Site: Chicago, IL
Award FINRA 08/16/2019
18-04330
Claimant(s): Roy Strong
Claimant Representative(s): Dochtor Kennedy
Respondent(s): CFD Investments, Inc.
Respondent Representative(s): Matthew Bahrenburg
Neutral(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
Award FINRA 08/16/2019
19-00764
Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Representative(s): Bruce M. Lewitas
Respondent(s): Joseph Smith
Respondent Representative(s): Joseph Smith
Neutral(s): Robert E. Anderson
Hearing Site: Newark, NJ
Award FINRA 08/16/2019
18-04076
Claimant(s): Alan Augulis
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): APW Capital, Inc.
Respondent Representative(s): Timothy Liam Smith
Neutral(s): Denise L. Quarles
Hearing Site: Newark, NJ
Award FINRA 08/16/2019
18-03710
Claimant(s): David James
Claimant Representative(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Elizabeth H. Lindh
Neutral(s): Anthony D. DeToro
Hearing Site: Los Angeles, CA
Award FINRA 08/16/2019
19-00384
Claimant(s): David Rojas
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): Barth Satuloff
Hearing Site: San Juan, PR
Award FINRA 08/15/2019
19-00142
Claimant(s): Sima Alefi
Claimant Representative(s): Robert L. Gonser
Respondent(s): Edward Jones
Respondent Representative(s): Darren Goodman
Neutral(s): Sterling N. Frost
Hearing Site: San Francisco, CA
Award FINRA 08/15/2019