Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities., SII Investments. Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL | ||
| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Roxanna V. Gonzalez Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-02606 | 11/08/2023 | Claimant(s): Travis Hansberger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 23-00667 | 11/01/2023 | Claimant(s): Douglas Wall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Joseph Neal Richardson Hearing Site: Dallas, TX | ||
| 23-00346 | 10/27/2023 | Claimant(s): James LaNeave Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SII Investments. Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Richard James Igou Hearing Site: Richmond, VA | ||
| 22-02920 | 10/20/2023 | Claimant(s): Shailesh Negandhi Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX | ||
| 22-02213 | 10/18/2023 | Claimant(s): Michael Ott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin Brooks Arbitrator(s): Kim L. Kirn Hearing Site: St. Louis, MO | ||
| 23-00332 | 10/18/2023 | Claimant(s): Brian Gardiner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): William James Pantele Hearing Site: Baltimore, MD | ||
| 23-01472 | 10/17/2023 | Claimant(s): Kurt Mattson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene Arbitrator(s): Michael J. Ahlstrom Hearing Site: Atlanta, GA | ||
| 23-00339 | 10/13/2023 | Claimant(s): Chirag Chauhan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors Respondent Lawyers(s): Michael J. Biondi Arbitrator(s): Harvey R. Linder Hearing Site: Memphis, TN |