Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03890 | 12/22/2021 | Claimant(s): Shawn Maloney Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Josian Antoine Hearing Site: Albany, NY | ||
| 21-00221 | 11/24/2021 | Claimant(s): James Kennedy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Sandra D. Grannum Arbitrator(s): Peter A. Goldman Hearing Site: Albany, NY | ||
| 20-04111 | 07/07/2021 | Claimant(s): Jason Kurchner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M Holdings Securities. Respondent Lawyers(s): Stephanie Palimino Arbitrator(s): Kathleen Hoey Gorr Hearing Site: Albany, NY | ||
| 20-02513 | 03/26/2021 | Claimant(s): Steven Kennedy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Johan E. Tatoy Arbitrator(s): Denise L. Quarles Hearing Site: Albany, NY | ||
| 19-01454 | 01/02/2020 | Claimant(s): Todd Silaika Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sara K. Yates Arbitrator(s): Alice E. Winkler Hearing Site: Albany, NY | ||
| 19-00152 | 08/26/2019 | Claimant(s): David Keator Claimant Lawyers(s): Peter F Flynn Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Martin A. Edelstein Hearing Site: Albany, NY | ||
| 19-00399 | 07/11/2019 | Claimant(s): Lawrence King Claimant Lawyers(s): Mark T Walsh Respondent(s): Purshe Kaplan Sterling Investments Respondent Lawyers(s): David M. Purcell Arbitrator(s): David R. Foley Hearing Site: Albany, NY | ||
| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Pamela H. Roderick Hearing Site: Albany, NY | ||
| 17-01758 | 11/30/2017 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Kean Bouplon Respondent Lawyers(s): Kean Lynn Bouplon Arbitrator(s): Keely D. Parr Hearing Site: Albany, NY | ||
| 14-03853 | 11/15/2016 | Claimant(s): Joseph Ventura, William Tell Services Claimant Lawyers(s): Wayne A. Smith Respondent(s): Daniel Mccarty, Richard Pombo, Steven Mannato, Steven Yezzo Respondent Lawyers(s): Laurie Styka Bloom, Matthew D. Wagoner Arbitrator(s): Martin Jay Siegel, Timothy A Meigher, Katherine Levitan Hearing Site: Albany, NY |