Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02971 | 06/04/2024 | Claimant(s): Bryan Knudson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Phyllis Karasov Hearing Site: Des Moines, IA | ||
| 23-02306 | 04/02/2024 | Claimant(s): Timothy Derouin Claimant Lawyers(s): Patrick E. Brookhouser Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene Arbitrator(s): Leah Murray Albert, Phyllis Karasov, Danielle L. Anderson Hearing Site: Des Moines, IA | ||
| 23-01203 | 03/13/2024 | Claimant(s): Martin Weiss Claimant Lawyers(s): Dochtor Kennedy Respondent(s): New England Securities Corporation Respondent Lawyers(s): Martin Harris Arbitrator(s): Steven Mark Bell Hearing Site: Des Moines, IA | ||
| 23-01257 | 12/06/2023 | Claimant(s): Andrew Schroeder Claimant Lawyers(s): James P. Galvin Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): William M. Azkoul Hearing Site: Des Moines, IA | ||
| 23-00352 | 08/18/2023 | Claimant(s): Timothy Hawkins Claimant Lawyers(s): Jon M. Stanfield Respondent(s): VSR Financial Services. Respondent Lawyers(s): David Feldstein Arbitrator(s): Mark S. Foster, David Evans Rosedahl, M W Gear Hearing Site: Des Moines, IA | ||
| 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 | ||
| 21-03116 | 08/19/2022 | Claimant(s): Brian Nikulski Claimant Lawyers(s): Michael Bessette Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Tracy L. Allen Hearing Site: Des Moines, IA | ||
| 21-01501 | 02/23/2022 | Claimant(s): Mark Gelbman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): M W Gear Hearing Site: Des Moines, IA | ||
| 21-01685 | 01/28/2022 | Claimant(s): Paul Barr Claimant Lawyers(s): Dochtor Kennedy Respondent(s): FSC Securities Corporation Respondent Lawyers(s): James V. Noblett Arbitrator(s): Robert J. Scafuri Hearing Site: Des Moines, IA | ||
| 20-01431 | 07/26/2021 | Claimant(s): Steven Boyd Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Hornor, Townsend & Kent Respondent Lawyers(s): George D. Fagan Arbitrator(s): Avery B. Goodman Hearing Site: Des Moines, IA |