Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-02606 | 11/08/2023 | Claimant(s): Travis Hansberger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-02861 | 09/25/2023 | Claimant(s): Karen Hoy Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH | ||
| 22-00492 | 06/26/2023 | Claimant(s): Annmarie Ryan Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | Expungement | |
| 22-01599 | 06/09/2023 | Claimant(s): Jamie Grupe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-01727 | 03/22/2023 | Claimant(s): Matthew Pullar Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PNC Investments Respondent Lawyers(s): Robert Whitman Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH | ||
| 22-01069 | 12/09/2022 | Claimant(s): Karl Schwartz Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 21-02913 | 08/22/2022 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Theodore R Bynum Respondent(s): Paul Vizanko Respondent Lawyers(s): Paul Warren Vizanko Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 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 | ||
| 21-01207 | 06/13/2022 | Claimant(s): David Fennema Claimant Lawyers(s): Ariel Okonsky Respondent(s): Securities Service Network Respondent Lawyers(s): Records Custodian Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 21-02573 | 05/25/2022 | Claimant(s): Timothy Souhrada Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO |