Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02212 | 03/04/2024 | Claimant(s): John McCune Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Mike West Arbitrator(s): Susan E. Maloney Hearing Site: Manchester, NH | ||
| 23-02222 | 03/01/2024 | Claimant(s): Wendy Wheeler Claimant Lawyers(s): Stephan Louviere Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Susan E. Maloney Hearing Site: Hartford, CT | ||
| 23-01612 | 11/07/2023 | Claimant(s): Adrienne Rowles Claimant Lawyers(s): Stephan Louviere Respondent(s): Ameriprise Financial Services, Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre Wolff, Howard M. Klausmeier Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 23-01239 | 10/02/2023 | Claimant(s): DawnMarie Corneau Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 18-02410 | 01/25/2019 | Claimant(s): Andrew Zimmerman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 18-00947 | 12/20/2018 | Claimant(s): Jeffrey Swett Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rafael E. Rosario Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 18-00178 | 12/07/2018 | Claimant(s): Mary Mullin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 17-03416 | 07/06/2018 | Claimant(s): Brian MacKinnon, Timothy MacKinnon Claimant Lawyers(s): Kenneth E. Meister Respondent(s): Morgan Stanley Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Michael P. Anciello, Susan E. Maloney, Patrick W. McKeon Hearing Site: Boston, MA | ||
| 17-01983 | 03/29/2018 | Claimant(s): Regina Bernarduci Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman, Jon D. Kaplon Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA | ||
| 13-02643 | 03/13/2014 | Claimant(s): CCO Investment Services Corp. Claimant Lawyers(s): David M. Belcher Respondent(s): Matthew Kane Respondent Lawyers(s): Matthew Kane Arbitrator(s): Susan E. Maloney Hearing Site: Boston, MA |