Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-03213 | 04/23/2019 | Claimant(s): Nisha Varma Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 18-01101 | 02/19/2019 | Claimant(s): Frank Cuenca Claimant Lawyers(s): Michael Bessette Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Bradley Fishman Arbitrator(s): Robert F. Saint-Aubin Hearing Site: San Diego, CA | ||
| 18-01196 | 12/18/2018 | Claimant(s): Scott Hood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Judy Louie, Randi P. Spallina Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA | ||
| 18-02167 | 12/13/2018 | Claimant(s): Raymond Lucia Claimant Lawyers(s): Robert Moses Respondent(s): Lucia Securities, Llc Respondent Lawyers(s): Viktoria Palermo CCO Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 17-02770 | 12/11/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Shannon L. McDougald Respondent(s): Guillermo Valladolid Respondent Lawyers(s): Guillermo William Valladolid Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA | ||
| 18-00736 | 12/07/2018 | Claimant(s): John Paffendorf Claimant Lawyers(s): Thomas C. Frost Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 18-02209 | 12/07/2018 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Timothy N. Will Respondent(s): Frank Bethan Respondent Lawyers(s): Frank Daniel Bethan Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA | ||
| 18-02148 | 12/04/2018 | Claimant(s): Breanne Polonia Claimant Lawyers(s): Cheryl S. Chang Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoffrey S. Beckham Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 18-00480 | 12/03/2018 | Claimant(s): Charles Duncan Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Securities America. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Mandel E. Himelstein Hearing Site: San Diego, CA | ||
| 18-00506 | 11/23/2018 | Claimant(s): Gabriel Yanez Claimant Lawyers(s): Dochtor Kennedy Respondent(s): WAMU Investments. Respondent Lawyers(s): Richard B. Davis Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA |