Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00107 | 09/27/2019 | Claimant(s): Gilberto Briseno Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Transamerica Financial Advisors Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Mark C Watler Hearing Site: New Orleans, LA | ||
| 19-00117 | 09/23/2019 | Claimant(s): Craig Moore Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Hearing Site: Manchester, NH | ||
| 19-00345 | 09/18/2019 | Claimant(s): Stephanie Abee Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Kestra Investment Services, Llc, Transamerica Financial Advisors Respondent Lawyers(s): David J. Lehr, Susan D. Duff Arbitrator(s): Kenneth R. Starr Hearing Site: Raleigh, NC | ||
| 18-04389 | 09/16/2019 | Claimant(s): Jeff Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy L. Moore Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Dallas, TX | ||
| 19-00048 | 09/16/2019 | Claimant(s): Thomas Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): American Independent Securities Group, L Respondent Lawyers(s): W. Gregory Lockwood Arbitrator(s): Daniel B. MacLeod Hearing Site: Portland, OR | ||
| 19-00995 | 09/16/2019 | Claimant(s): Scott Genzman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): I Douglas Dunipace Hearing Site: Phoenix, AZ | ||
| 18-04358 | 09/11/2019 | Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE | ||
| 19-00386 | 09/10/2019 | Claimant(s): Carl Gordinier Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Steven T. Stern Hearing Site: Philadelphia, PA | ||
| 18-04411 | 09/09/2019 | Claimant(s): Kathleen Hobart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Igor V. Stadnik Arbitrator(s): Helen Marinak Blohm Hearing Site: Seattle, WA | ||
| 18-04373 | 09/05/2019 | Claimant(s): Amanda Hinton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA |