Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03958 | 06/01/2021 | Claimant(s): Jonathan Sard Claimant Lawyers(s): James P. Galvin Respondent(s): Purshe Kaplan Sterling Investments Respondent Lawyers(s): David Purcell Arbitrator(s): Michael J. Ahlstrom, Judith Stilz Ogden, Brian Francis Pocock Hearing Site: Atlanta, GA | ||
| 20-02022 | 04/05/2021 | Claimant(s): Darin Ely Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BI Investments, Infinex Investments. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Michael J. Ahlstrom Hearing Site: Norfolk, VA | ||
| 20-02709 | 04/02/2021 | Claimant(s): Stephen Bush Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC | ||
| 20-02712 | 03/31/2021 | Claimant(s): Jimmy Barker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Michael J. Ahlstrom Hearing Site: Nashville, TN | ||
| 20-02760 | 02/25/2021 | Claimant(s): Robert Smith Claimant Lawyers(s): Sarah K. Yates Respondent(s): BBVA Securities. Respondent Lawyers(s): David S. Neel, Jr. Arbitrator(s): Michael J. Ahlstrom Hearing Site: Birmingham, AL | ||
| 20-01198 | 01/20/2021 | Claimant(s): Chesley Morton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): B. Riley Wealth Management Respondent Lawyers(s): Michael Markunas Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA | ||
| 20-01316 | 01/19/2021 | Claimant(s): Shannon Cotter Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen M. Cox Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC | ||
| 20-00902 | 10/27/2020 | Claimant(s): Michael Pearson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Christy Boardman Arbitrator(s): Michael J. Ahlstrom Hearing Site: Columbia, SC | ||
| 19-03712 | 10/08/2020 | Claimant(s): Roger Green Claimant Lawyers(s): Dochtor Kennedy Respondent(s): IFG Network Securities. Respondent Lawyers(s): David Feldstein Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA | ||
| 20-00948 | 09/24/2020 | Claimant(s): Montee Sneed Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Michael J. Ahlstrom Hearing Site: Nashville, TN |