|
CLAIMANT |
CLAIM |
DAMAGES
SOUGHT |
AMOUNT
AWARDED |
LINK TO AWARD |
|
Beavers |
Customer alleged firm mishandled sale of restricted stock |
$39,919 |
$4,000 |
http://www.arbitrationrecords.com/pdf/98-02054.pdf |
|
Winterhalter |
Broker alleged he had been wrongfully terminated & defamed on U-5 |
$2,220,000 |
-0- |
http://www.arbitrationrecords.com/pdf/98-00955.pdf |
|
Kramer |
Customer alleged he cancelled online order to short LCOS but a day later firm posted execution of order to his account |
$21,655 |
$5,938 |
http://www.arbitrationrecords.com/pdf/98-04957.pdf |
|
Gotses |
Broker alleged firm shortchanged him on commission payout over seven-year period |
$600,000 |
$2,800 |
http://www.arbitrationrecords.com/pdf/98-00469.pdf |
|
Moran |
Customer alleged firm failed to notify him until next day that online order to buy BA had been executed |
$238,445 |
$23,125 |
http://www.arbitrationrecords.com/pdf/99-00166.pdf |
|
Hughes |
Customer alleged he was unable to get through to firm to place order to cover short position in EBAY |
$128,115 |
-0- |
http://www.arbitrationrecords.com/pdf/99-02308.pdf |
|
Kotha |
Customer alleged he cancelled online orders to buy CMGI but two days later firm posted execution of orders to his account |
$26,685 |
$16,396 |
http://www.arbitrationrecords.com/pdf/99-01579.pdf |
|
Guastucci |
Customer alleged firm should not have accepted online market order to buy BRCM on first day stock was publicly traded |
$10,336 |
$10,000 |
http://www.arbitrationrecords.com/pdf/99-02824.pdf |
|
Waterall |
Customer alleged she cancelled all online orders to sell short AMTD but one was executed anyway |
$260,000 |
-0- |
http://www.arbitrationrecords.com/pdf/99-01943.pdf |
|
Liang |
Customer alleged firm should have rejected order to buy AMTX because of insufficient equity |
$711,000 |
-0- |
http://www.arbitrationrecords.com/pdf/99-01715.pdf |
|
Leung |
Customer alleged firm liquidated his account without giving him opportunity to meet margin call |
$645,000 |
-0- |
http://www.arbitrationrecords.com/pdf/99-01080.pdf |
|
Janiak |
Customer alleged broker recommended unregistered speculative stock |
$777,573 |
$50,000 |
http://www.arbitrationrecords.com/pdf/99-00553.pdf |
|
Edman |
Ex-manager alleged firm fired him to avoid paying buy-out bonus |
$64,000 |
-0- |
Not available (PX) |
|
Jones |
Customer alleged he cancelled online order to buy BIOM but a day later firm posted execution of order to his account |
$47,000 |
$13,500 |
http://www.arbitrationrecords.com/pdf/99-03597.pdf |
|
Shevel |
Customer who did cashless options exercise alleged firm made ¿secret profit¿ on transaction |
$48,400 |
-0- |
http://www.arbitrationrecords.com/pdf/99-03458.pdf |
|
Seif |
Customer alleged firm failed to execute stop order to buy to cover YHOO short |
$37,037 |
-0- |
http://www.arbitrationrecords.com/pdf/99-02085.pdf |
|
Waite |
Customer alleged firm should have rejected order to buy ENMD for insufficient equity |
$24,652 |
-0- |
http://www.arbitrationrecords.com/pdf/99-05695.pdf |
|
Gurewitz |
Customer alleged municipal bonds represented as non-callable were subsequently called |
$30,600 |
$6,653 |
http://www.arbitrationrecords.com/pdf/99-03298.pdf |
|
Kelly |
Customer alleged bank & broker-dealer unreasonably delayed in selling mutual funds held as collateral for loan |
$35,000 |
$19,760 |
http://www.arbitrationrecords.com/pdf/00-01133.pdf |
|
Nelson |
Customer alleged bank failed to manage or mismanaged three investment accounts |
$569,568 |
$3,267.89 |
Not available (AAA) |
|
Boscia |
Former registered representative alleged firm wrongfully withheld amount paid to settle customer complaint |
$22,291 |
-0- |
http://www.arbitrationrecords.com/pdf/00-00615.pdf |
|
Szabo |
Customer alleged firm should have rejected order to sell to close expired index options position |
$62,838.90 |
$62,838.90 |
http://www.arbitrationrecords.com/pdf/00-01099.pdf |
|
Pepe |
Manager alleged he was hired to build fixed-income department and firm failed to support him |
$350,000 |
$5,000 |
http://www.arbitrationrecords.com/pdf/00-01668.pdf |
|
Chung |
Customer alleged broker recommended unsuitable investments |
$1 million |
$51,903 |
http://www.arbitrationrecords.com/pdf/01-01771.pdf |
|
Heithaus |
Broker alleged he had been defamed by former manager |
$50,000 |
-0-
(Motion to dismiss granted) |
|
|
Bagdasarian |
Customer alleged broker switched him out of mutual funds to earn additional commission |
$8,500 |
$4,376.23 |
http://www.arbitrationrecords.com/pdf/01-01610.pdf |
|
Crume |
Customers alleged they were unable to reach online broker to place sell orders |
$113,666.06 |
-0- |
http://www.arbitrationrecords.com/pdf/00-05045.pdf |
|
Breslow |
Customer alleged portfolio managers failed to follow instructions to reduce equity allocation in managed account |
$500,000 |
$157,000 |
Not available (AAA) |
|
Lehrman |
Customer alleged broker invested IRA funds in mutual fund without authorization |
$7,500 |
-0- |
http://www.arbitrationrecords.com/pdf/01-03628.pdf |
|
Wissner |
Customer alleged broker promised him he would be able to sell bonds for no less than amount shown on last statement |
$23,519.05 |
-0- |
http://www.arbitrationrecords.com/pdf/01-06040.pdf |
|
Hat Lau |
Customer alleged broker recommended purchases of unsuitable penny stocks |
$110,000 |
-0- |
http://www.arbitrationrecords.com/pdf/00-05058.pdf` |
|
Soike |
Customer alleged broker ignored instructions to buy tax-free bonds & instead invested inheritance in unsuitable mutual funds |
$66,000 |
-0- |
http://www.arbitrationrecords.com/pdf/01-05497.pdf |
|
Drebi |
Customer alleged broker invested ¿tax money¿ in aggressive-growth mutual funds |
$115,854.69 |
-0- |
http://www.arbitrationrecords.com/pdf/02-00200.pdf |
|
Coulon |
Customer alleged broker invested funds in unsuitable aggressive-growth portfolio without his authorization |
$578,326 |
$120,000 |
http://www.arbitrationrecords.com/pdf/01-05818.pdf |
|
Wilbanks |
Customer alleged broker using boiler-room tactics made unauthorized and unsuitable trades |
$196,000 |
$163,000 |
http://www.arbitrationrecords.com/pdf/01-05491.pdf |
|
Franzen |
Customer alleged broker recommended unsuitable stocks in incubator companies |
$88,799.59 |
-0- |
http://www.arbitrationrecords.com/pdf/02-04473.pdf |
|
Ramayya |
Customer alleged brokerage firm did not honor promise by relationship manager to discount commissions |
$36,163.32 |
$22,710.28 |
http://www.arbitrationrecords.com/pdf/02-00204.pdf |
|
Lissberger |
Customer alleged broker recommended unsuitable variable annuity and misrepresented and failed to disclose facts about product |
$1,046,500 |
-0- |
http://www.arbitrationrecords.com/pdf/02-02209.pdf |
|
Lockwood |
Customer alleged broker induced her to take early retirement by promising he could generate sufficient income from retirement assets and then put her in unsuitable tech portfolio |
$209,000 |
$50,931.94 |
http://www.arbitrationrecords.com/pdf/03-07498.pdf |
|
Scher |
Customer alleged bank/broker-dealer promised to provide ¿top quality¿ advice about how to invest proceeds from sale of business and then pursued unsuitable investment strategy |
$6,681,183 |
-0- |
http://www.arbitrationrecords.com/pdf/03-04783.pdf |
|
Machado |
Customer alleged bank/broker failed to manage or mismanaged investment and trust accounts |
$484,250.00 |
-0- |
Not available (AAA) |
|
Alston |
Customer alleged online broker wrongfully failed to remove freeze on accounts |
$134,542.02 |
-0- |
http://www.arbitrationrecords.com/pdf/01-00644.pdf |
|
Patel |
Customer alleged broker recommended unsuitable variable annuity |
$84,099.60 |
-0- |
http://www.arbitrationrecords.com/pdf/03-05360.pdf |
|
Williams |
Broker alleged he had been fraudulently induced to leave former firm to join bank/broker-dealer |
$150,000 |
$58,250 (net of award on counterclaim) |
http://www.arbitrationrecords.com/pdf/04-07830.pdf |
|
Chen |
Customer alleged broker churned account and recommended unsuitable stocks |
$75,000 |
-0-
(Motion to dismiss granted) |
http://www.arbitrationrecords.com/pdf/97-01738.pdf
|