Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03212 | 03/01/2021 | Claimant(s): Debra Stokes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perrault Arbitrator(s): Selma Moy Hearing Site: New York, NY | ||
| 20-01412 | 02/23/2021 | Claimant(s): Amy Boyet Besse Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Rainmaker Securities Respondent Lawyers(s): Dominic Cioffi Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-01779 | 02/23/2021 | Claimant(s): Kevin Piker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Tiana M Towns Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Kansas City, MO | ||
| 20-01770 | 02/19/2021 | Claimant(s): George Bruneau Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ashley Kutz Kelley Arbitrator(s): Roger A. Geddes Hearing Site: Phoenix, AZ | ||
| 20-02668 | 02/19/2021 | Claimant(s): Kurt Kempkes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Roger M. Deitz Hearing Site: New York, NY | ||
| 20-02128 | 02/17/2021 | Claimant(s): Bill Thompson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Sherry R. Wetsch Hearing Site: Oklahoma City, OK | ||
| 20-02133 | 02/16/2021 | Claimant(s): Richard Pierce Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Mark A. Sipper Hearing Site: Columbus, OH | ||
| 20-01644 | 02/12/2021 | Claimant(s): Gisselle Mata Claimant Lawyers(s): Dochtor Kennedy Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dulap Arbitrator(s): Michele S. Riley Hearing Site: New York, NY | ||
| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-00701 | 02/10/2021 | Claimant(s): Sheila Shaffer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Legg Mason Wood Walker Respondent Lawyers(s): Rosemary Francavilla Arbitrator(s): Kelli J. Jareaux Hearing Site: Washington, DC |