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Arbitration Awards Online

Displaying 121 - 135 of 57759
Award Document Case Summary Document Type Forum Date of Award
18-04387
Claimant(s): Brian Eagon
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Representative(s): Abigail D. Elrod, Elisabeth Kratka
Neutral(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
Award FINRA 08/15/2019
18-03977
Claimant(s): Ting O'Connor
Claimant Representative(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Representative(s): Corporate Officer
Neutral(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
Award FINRA 08/15/2019
18-03108
Claimant(s): Edwin Mendez Mendez
Claimant Representative(s): Juan C. Blasini Gonzalez
Respondent(s): Santander Securities LLC
Respondent Representative(s): Paula A. Gonzalez-Montalvo
Neutral(s): Dineo Coleman Gary
Hearing Site: San Juan, PR
Award FINRA 08/15/2019
18-02207
Claimant(s): Warren Pitre
Claimant Representative(s): Jason J. Kane
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Sherry R. Wetsch, Ashley Lucile Belleau, Bertrand C. Moser
Hearing Site: New Orleans, LA
Award FINRA 08/15/2019
18-02144
Claimant(s): Isidro Miramontes
Claimant Representative(s): David Harrison
Respondent(s): Morgan Stanley & Co., LLC
Respondent Representative(s): Timothy L. Moore
Neutral(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
Award FINRA 08/15/2019
17-02705
Claimant(s): Gary Sinderbrand, Mill Lane Management, LLC
Claimant Representative(s): Jarrod J. Malone
Respondent(s): Wells Fargo Clearing Services, LLC, Steven Sinderbrand
Respondent Representative(s): Eric Wood, Erin M. Smith
Neutral(s): David S. Billet, Thomas J. Stock, John Herbert Grefe
Hearing Site: New York, NY
Award FINRA 08/15/2019
19-00460
Claimant(s): Hennessee Family Trust
Claimant Representative(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, LLC, William Paynter
Respondent Representative(s): Jeffrey Rodgers
Neutral(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
Award FINRA 08/15/2019
19-00002
Claimant(s): Richard Libretti
Claimant Representative(s): Tosh D. Grebenik
Respondent(s): National Securities Corporation
Respondent Representative(s): Emily A. Hayes
Neutral(s): Annamaria Boccia Smith
Hearing Site: Newark, NJ
Award FINRA 08/15/2019
18-04352
Claimant(s): Gary Meshell
Claimant Representative(s): Gary B. Meshell
Respondent(s): Gary Stern, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Logan S. Fisher
Neutral(s): Annamaria Boccia Smith
Hearing Site: New York, NY
Award FINRA 08/14/2019
18-04390
Claimant(s): Jeffey Nedley
Claimant Representative(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Representative(s): Frederic L. Lieberman
Neutral(s): Robert E. Anderson
Hearing Site: Pittsburgh, PA
Award FINRA 08/14/2019
18-03207
Claimant(s): Drew Freides
Claimant Representative(s): Kurt T. Kalberer
Respondent(s): Goldman, Sachs and Company
Respondent Representative(s): Charles Evan Stewart
Neutral(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
Award FINRA 08/14/2019
18-04349
Claimant(s): Anthony DeGregorio
Claimant Representative(s): Dochtor Kennedy
Respondent(s): American Portfolios Financial Services,
Respondent Representative(s): Frank A. Tauches
Neutral(s): Michael Fischetti
Hearing Site: Newark, NJ
Award FINRA 08/14/2019
19-01651
Claimant(s): Bryan Stebel
Claimant Representative(s): Elizabeth A. Lowery
Respondent(s): Cambridge Investment Research, Inc.
Respondent Representative(s): Jeanette Dennis
Neutral(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
Award FINRA 08/14/2019
19-00791
Claimant(s): Oppenheimer & Co., Inc.
Claimant Representative(s): John T. McGuire
Respondent(s): James Shea
Respondent Representative(s): Paul V. Fernicola
Neutral(s): Sam Antar
Hearing Site: Newark, NJ
Award FINRA 08/13/2019
18-03915
Claimant(s): Stuart Tsujimoto
Claimant Representative(s): Nathan Lamb
Respondent(s): Cetera Advisor Networks Llc
Respondent Representative(s): Jeremy Carr
Neutral(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
Award FINRA 08/13/2019