Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-01130 | 02/26/2019 | Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle A. Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig. Vollono Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 18-01371 | 02/12/2019 | Claimant(s): Rafael Locken-Testa Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX | ||
| 18-01132 | 02/11/2019 | Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX | ||
| 18-01475 | 02/04/2019 | Claimant(s): Michael Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Paul Yarns Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 18-01529 | 01/31/2019 | Claimant(s): John McDonough Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Eileen Stassa Arbitrator(s): Mark C. Watler Hearing Site: Houston, TX | ||
| 18-00558 | 01/18/2019 | Claimant(s): Beth Hearn Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Waddell & Reed Respondent Lawyers(s): Carolyn Browne Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 18-00979 | 11/07/2018 | Claimant(s): Kelly Kerr Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 18-00519 | 10/25/2018 | Claimant(s): Iain Sharpe Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Raymond C. Kerr Hearing Site: Houston, TX | ||
| 18-00697 | 10/19/2018 | Claimant(s): Michael Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons., Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX | ||
| 18-00520 | 09/27/2018 | Claimant(s): Iain Sharpe Claimant Lawyers(s): Matthew B. Henneman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah Yates Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX |