Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02928 | 06/28/2024 | Claimant(s): Darren Oglesby Claimant Lawyers(s): Brian Luther Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Stephen Edgar Eisenbraun Hearing Site: New Orleans, LA | ||
| 23-01238 | 03/06/2024 | Claimant(s): Christopher Wilbratte Claimant Lawyers(s): Dochtor Kennedy Respondent(s): GWN Securities Inc., Legend Equities Corporation Respondent Lawyers(s): Jessica E. Levine, Kathy M. Klock Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 19-02391 | 03/23/2020 | Claimant(s): Roch Tranel Claimant Lawyers(s): Kathy M. Klock Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Liza Perlow Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | ||
| 19-02436 | 01/30/2020 | Claimant(s): Christopher Roman Claimant Lawyers(s): Kathy M. Klock Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Maurice M. Feller Hearing Site: Tampa, FL | ||
| 18-00961 | 03/26/2019 | Claimant(s): Jerrold Beck Claimant Lawyers(s): Dochtor Kennedy Respondent(s): GWN Securities Inc. Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Brenda J. Stovall Hearing Site: Baltimore, MD | ||
| 14-02645 | 09/26/2016 | Claimant(s): Andrew Garrett. Claimant Lawyers(s): Barry M. Bordetsky Respondent(s): Terry Harris Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Theodor Brown, Michael H. DuBoff, James M. Rhodes Hearing Site: New York, NY | ||
| 15-03047 | 05/09/2016 | Claimant(s): Michele Kief Claimant Lawyers(s): Kathy M. Klock Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): Herbert Branitsky Hearing Site: Boca Raton, FL | ||
| 14-03385 | 08/17/2015 | Claimant(s): Michele Kief Claimant Lawyers(s): Kathy M. Klock Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): Gloria O. North Hearing Site: Boca Raton, FL | ||
| 14-00881 | 11/05/2014 | Claimant(s): Thomas Ferrara Claimant Lawyers(s): Kathy M. Klock Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Gordon F. Wylie Arbitrator(s): Madelon M. Rosenfeld, Mitchell Jay Bayer, Michele S. Riley Hearing Site: New York, NY | ||
| 10-04675 | 06/13/2011 | Claimant(s): Larry Addams Claimant Lawyers(s): Larry Wayne Addams Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Robert G. Scott Hearing Site: Kansas City, MO |