Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Jeffrey A. Ziesman Arbitrator(s): Leonard Arthur Nelson Hearing Site: Minneapolis, MN | ||
| 20-01426 | 01/13/2021 | Claimant(s): James Dy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Robert E. Anderson Hearing Site: Jersey City, NJ | ||
| 19-02674 | 01/11/2021 | Claimant(s): Kenneth Lynn Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Ann C. Northern Hearing Site: New York, NY | ||
| 20-01350 | 01/11/2021 | Claimant(s): Douglas Wall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX | ||
| 20-00872 | 01/07/2021 | Claimant(s): John Beloin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas Barnett Arbitrator(s): Sean Alan D'Amico Hearing Site: Hartford, CT | ||
| 20-01188 | 01/07/2021 | Claimant(s): Rinaldo Crassa Claimant Lawyers(s): Dochtor Kennedy Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): James Alexander Brown Hearing Site: New York, NY | ||
| 20-01371 | 12/31/2020 | Claimant(s): Ian James Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Annie Zaffuto Arbitrator(s): C. Sumpter Logan Hearing Site: New Orleans, LA | ||
| 20-01457 | 12/31/2020 | Claimant(s): Kelly Richards Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Capital Investment Group. Respondent Lawyers(s): Steven Blair Wilson Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-00925 | 12/22/2020 | Claimant(s): Gregg Martinsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Tracy L. Allen Hearing Site: Buffalo, NY | ||
| 20-01238 | 12/22/2020 | Claimant(s): Robert Langan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MML Investors Services Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): David L. Ruderman Hearing Site: Baltimore, MD |