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Arbitration Actions

Pursuant to NYSE Arca Rule 12.29(f), decisions arising out of NYSE Arca arbitration proceedings are publicly available. Copies of past arbitration decisions are organized below by year issued. For copies of arbitration decisions issued before 2000, please contact NYSE Arca arbitration staff directly.

You must have Adobe® Acrobat® Reader installed on your computer to view the following Arbitration decisions. Download Adobe® Acrobat® Reader here.

2014 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2014.


2013 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2013.


2012 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2012.


2011 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2011.


2010 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2010.


2009 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2009.


2008 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2008.


2007 Arbitration Decisions

Date Closed

Case #

 Case Name

No arbitration decisions for 2007.


2006 Arbitration Decisions

Date Closed

Case #

 Case Name

7/21/2006 04-S003
Perliman v. SSB
6/15/2006 06-S002
VTrader v. Perre
5/24/2006 06-S003
Ratcliffe v. CIBC World Markets
5/10/2006 06-S004
Thomas v. Charles Schwab & Co.
5/2/2006 06-S001
Claimant v Charles Schwab & Co.
4/21/2006 02-S058
Bohnker v. Wachovia Securities, Inc.
4/6/2006 03-S004
Lifton v Merrill Lynch et al
3/13/2006 02-S066
Davies v. Painewebber, Inc., et al
3/6/2006 01-L022
Arenson v. Salomon Smith Barney
3/3/2006 02-S057
Dekoven v. Salomon Smith Barney
1/13/2006 05-S009
Claimant v. RBC Dain Rauscher et al
1/13/2006 04-S008
Petersen v. Morgan Stanley


2005 Arbitration Decisions

Date Closed

Case #

 Case Name

12/13/2005 04-S002
Zebley v. Morgan Stanley DW
11/23/2005 04-S006
Cummins v. Southwest Securities et al
11/21/2005 04-S009
Kellett v. Morgan Stanley DW
10/13/2005 02-S041
Rosenfield v. RBC Dain Rauscher et al
9/30/2005 02-S064
McCarthy v. Merrill Lynch et al
9/6/2005 05-L001
Bilecky v. E-Trade Securities LLC
8/30/2005 03-S010
Clemens v. Morgan Stanley
8/15/2005 02-S020
Heidenreich v. Morgan Stanley et al
8/11/2005 02-S052
Fox v. Morgan Stanley DW et al
8/1/2005 04-S005
Perloff et al v. Merrill Lynch et al
7/8/2005 02-S013
Hefte v. First Union
5/31/2005 04-L010
Levin v. UBS Financial Services et al
5/23/2005 04-L009
Silver v. Prudential et al
5/19/2005 02-S054
Elzarka et al v. AG Edwards et al
5/16/2005 02-S016
Arndt v. SSB et al
5/6/2005 02-S055
Rickwal v. Salomon Smith Barney et al
4/18/2005 02-S021
Johnson v. First Union et al
4/18/2005 03-L012
Lajala v. Morgan Stanley
3/28/2005 04-L007
DeMunck v. AG Edwards et al
3/16/2005 02-S060
Claimant v. Wachovia et al
2/25/2005 03-S002
Allen v. AG Edwards
2/16/2005 02-S042
Schneider v. Cole Roesler et al
2/11/2005 02-L056
Lazar v. Merrill Lynch
1/25/2005 03-S008
Kiani v. H&R Block et al


2004 Arbitration Decisions

Date Closed

Case #

 Case Name

11/12/2004 01-S011
Cabanes v. Cole Roesler et al
9/28/2004 02-S006
Laszlo v. Morgan Stanley et al
8/20/2004 01-S027
Sanchez et al v. Salomon Smith Barney et al
7/21/2004 01-S024
Wilson v. Prudential Securities Inc.
5/6/2004 02-S062
Perez v. Goldman Sachs et al
4/28/2004 02-S003
Venkatramani v. Salomon Smith Barney et al


2003 Arbitration Decisions

Date Closed

Case #

 Case Name

10/6/2003 02-S033
Hodge v. Prudential Securities et al
9/9/2003 02-L030
Chodorow v. Merrill Lynch et al
3/28/2003 01-S017
JSS Investments v. MJT Securities LLC et al


2002 Arbitration Decisions

Date Closed

Case #

 Case Name

12/2/2002 01-S009
Pelosi v. Banc of America Securities et al
12/2/2002 01-S033
Goodwin v. Morgan Stanley DW
9/4/2002 01-S023
Merrick v. AG Edwards et al
3/25/2002 01-L016
Claimant v. Merrill Lynch et al
3/21/2002 00-L023
Cason v. First Union Securities et al
3/7/2002 00-L028
Smith v. Paine Webber et al
1/7/2002 01-S012
Claimant v. UBS-PaineWebber et al


2001 Arbitration Decisions

Date Closed

Case #

 Case Name

11/15/2001 01-L004
Whitham v. Salomon Smith Barney et al
11/8/2001 01-S010
Kyle v. DA Davidson et al
10/22/2001 00-S011
Hynes v. AG Edwards et al
10/18/2001 01-S008
Schreibman v. Charles Schwab
8/1/2001 00-S029
Appell v. Morgan Stanley DW et al
5/4/2001 99-S030
Ambroselli et al v. Olde Discount Corp et al
3/26/2001 00-S027
Boosalis v. Investec Ernst
2/28/2001 00-S006
Claimant v. Morgan Stanley DW et al


2000 Arbitration Decisions

Date Closed

Case #

 Case Name

12/9/2000 00-L022
Claimant v. First Union Securities et al
12/6/2000 00-S005
Gingrich et al v. Everen Securities et al
12/6/2000 00-S018
Claimant v. Charles Schwab & Co
11/22/2000 00-S009
Peus v. Prudential Securities
11/2/2000 99-S027
Young v. Charles Schwab & Co
8/18/2000 00-S008
Goggin v. Group One Trading
8/10/2000 96-L054
Albury v. Prudential Securities Inc.
8/2/2000 99-S025
Edman v. Discover Brokerage et al
8/1/2000 00-S010
Woods v. Dean Witter Reynolds
6/20/2000 99-S007
Fuller v. OLDE Discount Corp et al
5/11/2000 99-S009
Lindeman v. OLDE Discount Corp et al
5/2/2000 99-S020
Claimant v. Dean Witter
3/13/2000 99-S024
Detiege v. Charles Schwab & Co
3/2/2000 99-S012
Olsen v. Bear, Stearns & Co et al
2/24/2000 98-S023
Currin v. Prudential Securities
2/23/2000 98-S032
Perkins v. OLDE Discount Corp et al
2/8/2000 99-S038
Chen v. Charles Schwab & Co
1/5/2000 99-S034
Wagener v. Wilson


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