Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01782 | 11/18/2020 | Claimant(s): William O'Connell Claimant Lawyers(s): Gerry Giurato Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Richard Kent Mahrle Hearing Site: Phoenix, AZ | ||
| 19-03430 | 11/05/2020 | Claimant(s): Fred Wagner, Roger Dael, WBI Management LLC Claimant Lawyers(s): Brandon S. Reif Respondent(s): Andrew Gaber Respondent Lawyers(s): Thomas Werge Arbitrator(s): Ralph H. Martin, Donald Dreyfus, Ernst Janensch Hearing Site: Phoenix, AZ | ||
| 19-02890 | 09/17/2020 | Claimant(s): Andrew Meyer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ | ||
| 19-03478 | 07/27/2020 | Claimant(s): Paul Rutkowski Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Erik R. Siering Hearing Site: Phoenix, AZ | ||
| 19-03480 | 07/17/2020 | Claimant(s): Paul Rutkowski Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ | ||
| 19-03396 | 06/10/2020 | Claimant(s): Todd Foster Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SunAmerica Securities. Respondent Lawyers(s): James V. Noblett Arbitrator(s): Jay Lawrence Witkin Hearing Site: Phoenix, AZ | ||
| 19-02762 | 05/08/2020 | Claimant(s): Michael Osland Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Jay Lawrence Witkin Hearing Site: Phoenix, AZ | ||
| 19-02682 | 03/27/2020 | Claimant(s): William O'Connell Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ | ||
| 19-02230 | 03/26/2020 | Claimant(s): Wayne Kandas Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MSI Financial Services. Respondent Lawyers(s): Martin Harris Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ | ||
| 19-02037 | 03/23/2020 | Claimant(s): James Bishopp Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SunAmerica Securities., National Planning Corporation Respondent Lawyers(s): Eric A. Michaels, James V. Noblett Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ |