Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 24-01079 | 08/23/2024 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Frank J. Cuccio Respondent(s): Anthony Tassone Respondent Lawyers(s): Anthony M. Tassone Arbitrator(s): Thomas M. Madden Hearing Site: Hartford, CT | ||
| 23-01449 | 05/30/2024 | Claimant(s): John Paul Morales Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Amanda L. Parisi Arbitrator(s): John Francis Markuns Hearing Site: Hartford, CT | ||
| 23-02775 | 05/21/2024 | Claimant(s): James Shuttleworth Claimant Lawyers(s): Nathan W. Lamb Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): David Adams Reif Hearing Site: Hartford, CT | ||
| 23-02975 | 04/25/2024 | Claimant(s): David Scranton Claimant Lawyers(s): James P. Galvin Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Thomas Drogan Arbitrator(s): Sean Alan D'Amico Hearing Site: Hartford, CT | ||
| 22-02275 | 03/14/2024 | Claimant(s): David Gershoni Claimant Lawyers(s): David John Freniere Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Hearing Site: Hartford, CT | ||
| 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 | ||
| 23-00909 | 02/27/2024 | Claimant(s): Dennis Karjanis Claimant Lawyers(s): Craig A. Riha Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Sean Alan D'Amico, Jud Perkins, David Stein Hearing Site: Hartford, CT | ||
| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Robert L. Chase Hearing Site: Hartford, CT | ||
| 23-02322 | 01/19/2024 | Claimant(s): Elisheva Defeo Claimant Lawyers(s): Christopher H. Tovar Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Leslie Blickenstaff Arbitrator(s): John Thomas Shaban, Edward S. Hill, Peter M Cosel Hearing Site: Hartford, CT | ||
| 23-01001 | 01/17/2024 | Claimant(s): Ernest Montavon Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Mark A. Pratzel Arbitrator(s): Peter E. Gillespie Hearing Site: Hartford, CT |