Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02807 | 05/20/2024 | Claimant(s): Nicholas Efthemis Claimant Lawyers(s): Peter Lindholm Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Dissen Hearing Site: Buffalo, NY | ||
| 23-00905 | 09/29/2023 | Claimant(s): Jeffrey Schultz Claimant Lawyers(s): Joel Everest Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY | ||
| 21-02469 | 09/21/2022 | Claimant(s): Guy Deemer Claimant Lawyers(s): Brian Luther Respondent(s): Oppenheimer & Co.., Stifel, Nicolaus & Co.. Respondent Lawyers(s): John T. McGuire, Lauren Beekman Arbitrator(s): Richard W. Dissen, John J. Neely, David Michael Stabile Hearing Site: Pittsburgh, PA | ||
| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo Claimant Lawyers(s): Robert G. Heim Respondent(s): ProEquities. Respondent Lawyers(s): Stephen C. Jackson Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton Hearing Site: Augusta, ME | ||
| 19-03654 | 11/15/2021 | Claimant(s): Clinton Rinehart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): David I. Hantman Arbitrator(s): Richard W. Dissen Hearing Site: Cincinnati, OH | ||
| 20-04121 | 10/20/2021 | Claimant(s): Shelby Fink Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY | ||
| 20-02462 | 04/09/2021 | Claimant(s): Ahmiel Baum Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lehman Brothers Inc Respondent Lawyers(s): Jeffrey S. Margolin Arbitrator(s): Richard W. Dissen Hearing Site: Pittsburgh, PA | ||
| 20-02891 | 04/01/2021 | Claimant(s): Eric Haubert Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Richard W. Dissen Hearing Site: Columbus, OH | ||
| 20-00803 | 10/30/2020 | Claimant(s): Thomas Shepard Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Richard W. Dissen Hearing Site: Augusta, ME | ||
| 20-00823 | 09/18/2020 | Claimant(s): Mark Eidlin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Richard W. Dissen Hearing Site: Buffalo, NY |