Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-02937 | 06/12/2020 | Claimant(s): Gerald Hanifan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The Investment Center., USA Financial Securities Corporation Respondent Lawyers(s): Douglas A. Wright, Joel T. Brusk Arbitrator(s): Richard E. Miley Hearing Site: Charlotte, NC | ||
| 19-03369 | 06/12/2020 | Claimant(s): Craig Nelson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Erik R. Siering Hearing Site: Las Vegas, NV | ||
| 19-02717 | 06/10/2020 | Claimant(s): Scott Shulman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Prudential Equity Group Respondent Lawyers(s): Anthony Paduano Arbitrator(s): Patricia H. Latham Hearing Site: Washington, DC | ||
| 19-02825 | 06/10/2020 | Claimant(s): Derek Rosenberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Las Vegas, NV | ||
| 19-03396 | 06/10/2020 | Claimant(s): Todd Foster Claimant Lawyers(s): Dochtor Kennedy Respondent(s): SunAmerica Securities. Respondent Lawyers(s): James V. Noblett Arbitrator(s): Jay Lawrence Witkin Hearing Site: Phoenix, AZ | ||
| 19-03452 | 06/09/2020 | Claimant(s): David Manning Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Institutional Securities, L.L.C. Respondent Lawyers(s): James K. Langdon Arbitrator(s): Joan M. Traub Hearing Site: Newark, NJ | ||
| 19-02226 | 06/02/2020 | Claimant(s): Robert Dolle Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY | ||
| 19-02724 | 05/26/2020 | Claimant(s): Thomas Chimirri Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Touchstone Securities. Respondent Lawyers(s): Barry D. Hunter Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT | ||
| 19-02958 | 05/26/2020 | Claimant(s): Chuck Roberts Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M. J. Whitman. Respondent Lawyers(s): Michael Carney Arbitrator(s): Alice E. Winkler Hearing Site: New York, NY | ||
| 19-03155 | 05/19/2020 | Claimant(s): Matthew Rotella Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Michael H DuBoff Hearing Site: Newark, NJ |