Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03455 | 05/05/2021 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Joseph Stengel Respondent Lawyers(s): Joseph Steven Stengel Arbitrator(s): Edward W. Morris Hearing Site: Wilmington, DE | ||
| 20-02511 | 04/13/2021 | Claimant(s): Beverly Ketel Claimant Lawyers(s): Beverly Marie Ketel Respondent(s): Citizens Securities. Respondent Lawyers(s): Geoffrey W. Millsom Arbitrator(s): Thomas C. Tretter, Linda J. Baer, Edward W. Morris Hearing Site: Manchester, NH | ||
| 20-03578 | 02/23/2021 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Nicola A. Murphy Respondent(s): Kevin Fay Respondent Lawyers(s): Kevin P. Fay Arbitrator(s): Edward W. Morris Hearing Site: Jersey City, NJ | ||
| 20-01298 | 01/12/2021 | Claimant(s): Christopher Knutson Claimant Lawyers(s): Harry Meyer Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Kevin Meade Arbitrator(s): Edward W. Morris Hearing Site: New York, NY | ||
| 19-01739 | 02/13/2020 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Craig D. Stein Respondent(s): Kenneth Vaishville Respondent Lawyers(s): Kenneth Vaishville Arbitrator(s): Edward W. Morris Hearing Site: New York, NY | ||
| 18-03912 | 11/22/2019 | Claimant(s): Jefferies LLC Claimant Lawyers(s): Andrew J. Shapren Respondent(s): Jeffrey Raphael Respondent Lawyers(s): Robert L. Herkovits Arbitrator(s): Edward W. Morris Hearing Site: New York, NY | ||
| 19-01520 | 09/17/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Steven Silverthorne Respondent Lawyers(s): Steven M. Silverthorne Arbitrator(s): Edward W. Morris Hearing Site: Newark, NJ | ||
| 18-00774 | 02/22/2019 | Claimant(s): Kevin Koch Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group, Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman, Robin H. Rome Arbitrator(s): Edward W. Morris Hearing Site: New York, NY | ||
| 17-02787 | 01/15/2019 | Claimant(s): David Lipschitz Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): CLSA Americas Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Joseph N. Stineman, Edward W. Morris, Susan Romano Hearing Site: New York, NY | ||
| 18-02096 | 10/31/2018 | Claimant(s): Brendon Pierson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): HD Vest Investment Services Respondent Lawyers(s): Eric J. Chartan Arbitrator(s): Edward W. Morris Hearing Site: Newark, NJ |