Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01975 | 03/05/2021 | Claimant(s): Russell Abbott Claimant Lawyers(s): Benjamin Winograd Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Simon M. Levy Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 20-02531 | 02/15/2021 | Claimant(s): Sarah Hussey Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Laurel Littman Gothelf Hearing Site: Helena, MT | ||
| 20-01974 | 02/09/2021 | Claimant(s): Russell Abbott Claimant Lawyers(s): Benjamin Winograd Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Simon M. Levy Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-03682 | 03/04/2020 | Claimant(s): Neil Konigsberg Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-01066 | 01/22/2020 | Claimant(s): Jason Diaz Claimant Lawyers(s): Tosh D Grebenik Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-01261 | 01/02/2020 | Claimant(s): Mark Elston Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: Reno, NV | ||
| 19-00538 | 11/26/2019 | Claimant(s): Kent Kuhlmann Claimant Lawyers(s): Stephan Louviere Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-00216 | 09/30/2019 | Claimant(s): Clayton Shum Claimant Lawyers(s): Harris M. Freedman Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Jill Settlemyer Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 19-00047 | 08/29/2019 | Claimant(s): Mark Wilburn Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 18-01168 | 01/22/2019 | Claimant(s): Brandi Stahl Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Andrew S. Azarmi Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA |