Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 17-01895 | 09/19/2018 | Claimant(s): David Peterson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Jonathan B. Gilbert Hearing Site: Denver, CO | ||
| 17-03506 | 09/19/2018 | Claimant(s): Michael Butt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): Ann C. McCague Arbitrator(s): Walter Steven Schwartz Hearing Site: Phoenix, AZ | ||
| 18-00541 | 09/19/2018 | Claimant(s): Gabriel Yanez Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Sagepoint Financial., First Wall Street Corp. Respondent Lawyers(s): Bradley S. Fishman, Charles Lazzaro Arbitrator(s): Robert F. Saint-Aubin Hearing Site: San Diego, CA | ||
| 18-00225 | 09/14/2018 | Claimant(s): Ariel Bobroff, Gary Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 18-01006 | 09/14/2018 | Claimant(s): Diana Navarre Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Neil S. Jasper Hearing Site: Los Angeles, CA | ||
| 18-00107 | 09/10/2018 | Claimant(s): James Lee Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Steven T. Stern Hearing Site: Wilmington, DE | ||
| 18-00484 | 09/07/2018 | Claimant(s): Patrick Kelly Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Miller Johnson Steichen Kinnard. Respondent Lawyers(s): William M. Goblirsch Arbitrator(s): Peter N. Thompson Hearing Site: Minneapolis, MN | ||
| 18-00315 | 09/05/2018 | Claimant(s): Geoffrey Fiszel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Tucker Anthony Incorporated Respondent Lawyers(s): Frank J. Cuccio Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT | ||
| 18-00473 | 08/31/2018 | Claimant(s): David Christensen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Ellyn S. Roth Hearing Site: New York, NY | ||
| 18-00698 | 08/31/2018 | Claimant(s): Mark Birringer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah Yates Arbitrator(s): Charles Orlove Hearing Site: Chicago, IL |