Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 12-02881 | 06/05/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Barry Axler Respondent Lawyers(s): Marc Durant Arbitrator(s): Allen Kilik, Gloria O. North, Soraya Maria Figueiredo Hearing Site: Boca Raton, FL | ||
| 12-03242 | 05/06/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Brad Rude Respondent Lawyers(s): Marc Durant Arbitrator(s): Jim Geiger, John Joseph Borzi, Peter Edward Sheridan Hearing Site: Philadelphia, PA | ||
| 13-01104 | 09/09/2013 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Freddy Medina Respondent Lawyers(s): Freddy A. Medina Arbitrator(s): Bernard M. Levine Hearing Site: Newark, NJ | ||
| 12-00057 | 05/15/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Frank Fava Respondent Lawyers(s): Frank Jerry Fava Arbitrator(s): Linda T. Pellegrino Hearing Site: Newark, NJ | ||
| 12-01188 | 05/14/2013 | Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Yaakov Aspir Respondent Lawyers(s): Yaakov Eliyahu Aspir Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY | ||
| 12-00861 | 01/22/2013 | Claimant(s): Wells Fargo Securities Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Robert Lavanco Respondent Lawyers(s): Robert John Lavanco Arbitrator(s): Kenneth J. Horowitz Hearing Site: Newark, NJ | ||
| 12-02863 | 12/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Thomas Laughlin Respondent Lawyers(s): Thomas Joseph Laughlin Arbitrator(s): Joan M. Traub Hearing Site: Newark, NJ | ||
| 11-03906 | 12/10/2012 | Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Ronny Powell Respondent Lawyers(s): Ronny W. Powell Arbitrator(s): Marshal H. Emerson, John F. O'Neill, David Freeman Hearing Site: Birmingham, AL | ||
| 11-03080 | 09/26/2012 | Claimant(s): Samuel Borger Claimant Lawyers(s): Samuel J Borger Respondent(s): AXA Advisors Respondent Lawyers(s): Kenneth O'Connor Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY | ||
| 12-01198 | 09/04/2012 | Claimant(s): AXA Advisors Claimant Lawyers(s): Kenneth O'Connor Respondent(s): Samuel McCormick Respondent Lawyers(s): Samuel Troy McCormick Arbitrator(s): Michael G. Clark Hearing Site: Portland, OR |