Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01177 | 11/13/2023 | Claimant(s): Chanh Truong Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 20-03057 | 07/29/2021 | Claimant(s): Justin Bachman Claimant Lawyers(s): Chelsea Masters Respondent(s): Brokerbank Securities. Respondent Lawyers(s): Philip Wright Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 20-01011 | 10/05/2020 | Claimant(s): Chiu-ni Wang Claimant Lawyers(s): Joshua B. Kons Respondent(s): LPL Financial LLC Respondent Lawyers(s): Neil S. Baritz Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 18-00129 | 10/17/2018 | Claimant(s): Sandra Wang Claimant Lawyers(s): Eric Litow Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 17-02469 | 07/30/2018 | Claimant(s): Erik Weir Claimant Lawyers(s): Armin Sarabi Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 16-01365 | 09/26/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Kevin J. Woods Respondent(s): Mario Mendoza Respondent Lawyers(s): Melinda Jane Steuer Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 15-02314 | 07/28/2017 | Claimant(s): Taylor Reed Claimant Lawyers(s): Donald C. Potter Respondent(s): Wedbush Securities Inc. Respondent Lawyers(s): Matthew Klafter Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Arocles Aguilar Hearing Site: San Francisco, CA | ||
| 11-04623 | 08/07/2014 | Claimant(s): Justin Miller Claimant Lawyers(s): Marie Mirch Respondent(s): Unionbanc Investment Services Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen Hearing Site: San Francisco, CA | ||
| 08-00303 | 04/07/2010 | Claimant(s): Hansueli Overturf Claimant Lawyers(s): Timothy A Canning Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Debra V. Achkire Arbitrator(s): Helen Marinak Blohm, Ralph A. Cotton, Osei J Adoma Hearing Site: San Francisco, CA | ||
| 08-01079 | 03/11/2010 | Claimant(s): Eric Bunker Claimant Lawyers(s): Eric W. Bunker Respondent(s): Jason Seale Respondent Lawyers(s): Steven M. Sherman Arbitrator(s): Ralph A. Cotton, John J. Fitzpatrick, Richard Conlon Lehrmann Hearing Site: San Francisco, CA |