Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Investors Capital Corp., Securian Financial Services. Respondent Lawyers(s): David Feldstein, Lisa Stopfer Arbitrator(s): Walter Steven Schwartz Hearing Site: Albuquerque, NM | ||
| 22-01273 | 03/14/2023 | Claimant(s): Joseph Mrozienski Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lincoln Financial Distributors. Respondent Lawyers(s): Michael W. Arnold Arbitrator(s): Thomas Benjamin Salzer Hearing Site: Syracuse, NY | ||
| 22-00781 | 02/10/2023 | Claimant(s): Brett Millsap Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Avery B. Goodman Hearing Site: Des Moines, IA | ||
| 21-02760 | 02/10/2023 | Claimant(s): James Moniz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Signator Investors. Respondent Lawyers(s): Justin Sacca Arbitrator(s): Howard N. Gorney Hearing Site: Boston, MA | ||
| 22-00945 | 02/09/2023 | Claimant(s): Thomas Freeman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): David A. Schuler Hearing Site: Kansas City, MO | ||
| 22-01576 | 02/09/2023 | Claimant(s): William Crull Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation Respondent Lawyers(s): Deirdre Wolff, Justin Sacca Arbitrator(s): Simeon B. Reimonenq Hearing Site: New Orleans, LA | ||
| 22-00559 | 01/31/2023 | Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cardinal Investments. Respondent Lawyers(s): Timothy C. Stubblefield Arbitrator(s): James M. Stern Hearing Site: St. Louis, MO | ||
| 22-00172 | 01/30/2023 | Claimant(s): Kevin Mahoney Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): David I. Hantman Arbitrator(s): Catherine Stewart Hearing Site: Manchester, NH | ||
| 22-01253 | 01/27/2023 | Claimant(s): Amie Fielder Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Arvest Wealth Management Respondent Lawyers(s): Jennifer B. Puckett Arbitrator(s): Gregory G. Gocek Hearing Site: Kansas City, MO | ||
| 22-00755 | 01/26/2023 | Claimant(s): David Brooks Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Securities Service Network Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO |