Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02006 | 03/26/2021 | Claimant(s): James Underhill Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Matthew Tracy Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-03177 | 03/18/2021 | Claimant(s): Todd Anderson Claimant Lawyers(s): Ross Kartez Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-02266 | 02/23/2021 | Claimant(s): Michael Marshall Claimant Lawyers(s): James P. Galvin Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Benjamin F. Breslauer Hearing Site: Phoenix, AZ | ||
| 20-01770 | 02/19/2021 | Claimant(s): George Bruneau Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ashley Kutz Kelley Arbitrator(s): Roger A. Geddes Hearing Site: Phoenix, AZ | ||
| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-02062 | 01/13/2021 | Claimant(s): Francisco Almada Claimant Lawyers(s): Christopher Warren Respondent(s): Union Capital Company Respondent Lawyers(s): Joseph Bodkin Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-01457 | 12/31/2020 | Claimant(s): Kelly Richards Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Capital Investment Group. Respondent Lawyers(s): Steven Blair Wilson Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-00749 | 12/29/2020 | Claimant(s): Deeann Griebel Claimant Lawyers(s): Robert D Mitchell Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Stephen G. Topetzes Arbitrator(s): Elliott Finkel, Kenneth R. Johnston, Kenneth L. Mann Hearing Site: Phoenix, AZ | ||
| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall Claimant Lawyers(s): James P. Galvin Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Thomas E Shuck Hearing Site: Phoenix, AZ | ||
| 20-02267 | 11/23/2020 | Claimant(s): Michael Marshall Claimant Lawyers(s): James P. Galvin Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Samantha D. Parrish Arbitrator(s): Timothy J. Kroll Hearing Site: Phoenix, AZ |