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Arbitration Awards Online

Displaying 121 - 135 of 58032
Award Document Case Summary Document Type Forum Date of Award
19-01611
Claimant(s): Wells Fargo Clearing Services, LLC
Claimant Representative(s): Gregory Tendrich
Respondent(s): Nicolas Barone
Respondent Representative(s): Nicolas Andrew Barone
Neutral(s): Amanda M. Cole
Hearing Site: Orlando, FL
Award FINRA 10/23/2019
18-02285
Claimant(s): John Juergens
Claimant Representative(s): Michael A. Zamat
Respondent(s): Mutual Of Omaha Investor Services, Inc.
Respondent Representative(s): Patrick B. Griffin
Neutral(s): Elizabeth Gilbert, Peter E. Gillespie, Michael Andrew Rollin
Hearing Site: New York, NY
Award FINRA 10/23/2019
19-00949
Claimant(s): Mamode Oozeerally
Claimant Representative(s): Jennifer Woods Burke
Respondent(s): Hennion & Walsh, Inc.
Respondent Representative(s): Mitra E. Niknam
Neutral(s): Robert E. Anderson
Hearing Site: Newark, NJ
Award FINRA 10/23/2019
18-04284
Claimant(s): Phillip Irvin
Claimant Representative(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): W. Preston Martin
Neutral(s): Kevin R. Zehe
Hearing Site: Cleveland, OH
Award FINRA 10/23/2019
18-03521
Claimant(s): Susan Suarez
Claimant Representative(s): James Halter
Respondent(s): UBS Financial Services Inc., Mary Zawacki
Respondent Representative(s): John P. Leonard
Neutral(s): Philip M. Mandel, Edward F. Zagajeski, Matthew Fenster
Hearing Site: New York, NY
Award FINRA 10/22/2019
19-00402
Claimant(s): Benjamin Brayshaw
Claimant Representative(s): Dochtor Kennedy
Respondent(s): Questar Capital Corporation
Respondent Representative(s): Jeffrey D. Hedlund
Neutral(s): Linda J. Baer
Hearing Site: Manchester, NH
Award FINRA 10/22/2019
19-01052
Claimant(s): Joshua Kampf, Thomas Hutchison
Claimant Representative(s): Joel Wertman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Representative(s): Sarah K. Yates
Neutral(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton
Hearing Site: Hartford, CT
Award FINRA 10/22/2019
19-01115
Claimant(s): Jennifer Turner
Claimant Representative(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
Award FINRA 10/22/2019
19-00293
Claimant(s): Stephen Seewer
Claimant Representative(s): Michael Bessette
Respondent(s): Wells Fargo Investments, LLC
Respondent Representative(s): Geoffrey S. Beckham
Neutral(s): Kevin K. Forrester
Hearing Site: San Diego, CA
Award FINRA 10/22/2019
18-03818
Claimant(s): Shawn Gruver
Claimant Representative(s): Michael Bessette
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Melanie L. Ronen
Neutral(s): Erik R. Siering
Hearing Site: Los Angeles, CA
Award FINRA 10/22/2019
19-00527
Claimant(s): Thomas Norris
Claimant Representative(s): Joseph H. Spiegel
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Robert J. Scafuri
Hearing Site: Detroit, MI
Award FINRA 10/22/2019
19-01108
Claimant(s): Moses Rosario
Claimant Representative(s): Moses Rosario
Respondent(s): Wells Fargo Clearing Services, LLC
Respondent Representative(s): Jeffery D. Rodgers
Neutral(s): Theodore Moreines, Morton S. Bunis, Joan Dawn Hogarth
Hearing Site: Newark, NJ
Award FINRA 10/21/2019
18-04386
Claimant(s): Kevin Cox
Claimant Representative(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Representative(s): Trae D. Meyr
Neutral(s): Karl A. Vogeler
Hearing Site: Tampa, FL
Award FINRA 10/21/2019
18-04322
Claimant(s): Sandeep Varma, Steven Musser
Claimant Representative(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Representative(s): Jon D. Kaplon
Neutral(s): Mark R. Lee
Hearing Site: San Diego, CA
Award FINRA 10/21/2019
18-03117
Claimant(s): John Bradley
Claimant Representative(s): Michael O'Gara
Respondent(s): UBS Financial Services Inc.
Respondent Representative(s): Olivia Lee Jones
Neutral(s): Julius Z. Frager
Hearing Site: Cincinnati, OH
Award FINRA 10/21/2019