Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN | ||
| 23-01849 | 04/18/2024 | Claimant(s): Brian Hagen Claimant Lawyers(s): James P. Galvin Respondent(s): Concourse Financial Group Securities Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX | ||
| 22-02900 | 10/12/2023 | Claimant(s): Richard Ehrlich Claimant Lawyers(s): Harris Freedman Respondent(s): Park Avenue Securities LLC, Securian Financial Services. Respondent Lawyers(s): Kathryn Roe Eldridge, Lisa Stopfer Arbitrator(s): Martin A. Feigenbaum Hearing Site: Boca Raton, FL | ||
| 22-00114 | 09/23/2022 | Claimant(s): Gregory Crance Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Oneamerica Securities., Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Mollie Wagner Neal Hearing Site: Birmingham, AL | ||
| 22-00111 | 08/04/2022 | Claimant(s): Gregory Crance Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Marvin Kent Speigner Hearing Site: Birmingham, AL | ||
| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): M W Gear Hearing Site: Des Moines, IA | ||
| 20-03135 | 08/06/2021 | Claimant(s): Wesley Sorensen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Robert J. Gregory Hearing Site: Dallas, TX | ||
| 20-02862 | 05/28/2021 | Claimant(s): Brian Peardon Claimant Lawyers(s): Harris Freedman Respondent(s): ProEquities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): William W. Haskell Hearing Site: San Francisco, CA | ||
| 20-00639 | 09/21/2020 | Claimant(s): Robert Brewer Claimant Lawyers(s): Kathryn Roe Eldridge Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Robert M. Rudnicki Arbitrator(s): Bill Swinford Hearing Site: Louisville, KY | ||
| 20-00121 | 08/26/2020 | Claimant(s): Casey Sletten Claimant Lawyers(s): Frances Menzer Respondent(s): Principal Funds Distributor. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA |