Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00888 | 03/23/2021 | Claimant(s): Brannon McPherson Claimant Lawyers(s): Brannon McPherson Respondent(s): International Assets Advisory Respondent Lawyers(s): Joshua A. Katz Arbitrator(s): Charles A. Pease, Steven Meyrich, Richard Djokic Hearing Site: Denver, CO | ||
| 20-01903 | 03/12/2021 | Claimant(s): James Shoffner Claimant Lawyers(s): Zachary T. Hayes-Macaluso Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 20-01623 | 02/01/2021 | Claimant(s): Adam Way Claimant Lawyers(s): Zachary T. Hayes-Macaluso Respondent(s): Northwestern Mutual Investment Services Respondent Lawyers(s): Thomas K. Anderson Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO | ||
| 20-01414 | 12/04/2020 | Claimant(s): Michael Nielson Claimant Lawyers(s): Kurt Zimmerman Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Feldstein Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO | ||
| 20-00525 | 11/13/2020 | Claimant(s): Norman Lautrup Claimant Lawyers(s): Benjamin Winograd Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Michael Jeffrey Norton Hearing Site: Denver, CO | ||
| 20-00958 | 10/21/2020 | Claimant(s): Kelly Stewart Claimant Lawyers(s): Frances Menzer Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 20-00972 | 10/21/2020 | Claimant(s): Lawrence Finch Claimant Lawyers(s): Frances Menzer Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00688 | 10/19/2020 | Claimant(s): Joseph Sturniolo Claimant Lawyers(s): Michael Bessette Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00362 | 09/17/2020 | Claimant(s): Scott Arrasmith Claimant Lawyers(s): Frances Menzer Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 19-02764 | 07/17/2020 | Claimant(s): Robert Bragg Claimant Lawyers(s): Michael Bessette Respondent(s): VSR Financial Services. Respondent Lawyers(s): David Feldstein Arbitrator(s): Milton N. Gross Hearing Site: Denver, CO |