Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-01543 | 09/24/2018 | Claimant(s): John Carolyn Claimant Lawyers(s): Alise Johnson Henry Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 18-02122 | 09/21/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Joseph A. Cialone Respondent(s): Phillip Schreiner Respondent Lawyers(s): Phillip Albert Schreiner Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 17-02579 | 09/05/2018 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Michael R. Greco Respondent(s): Christopher Bingham Respondent Lawyers(s): Jeremy Sloan Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX | ||
| 18-01111 | 08/30/2018 | Claimant(s): Michael Rudelson Claimant Lawyers(s): Cynthia Moulton Respondent(s): Kestra Investment Services Respondent Lawyers(s): Lydia R. Zaidman Arbitrator(s): Jeff Kilgore Hearing Site: Houston, TX | ||
| 17-01257 | 08/22/2018 | Claimant(s): Raul Mendez Claimant Lawyers(s): W. Fulton Broemer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): R. Lee Britton Jr. Hearing Site: Houston, TX | ||
| 18-01093 | 08/17/2018 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Shannon M. Wheaton Respondent(s): James Groh Respondent Lawyers(s): James Colin Groh Arbitrator(s): Bertrand C. Moser Hearing Site: Houston, TX | ||
| 18-01414 | 08/13/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Joseph A. Cialone Respondent(s): Vicente Davila Respondent Lawyers(s): Vicente Davila Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX | ||
| 17-02725 | 04/12/2018 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jack D. Ballard Respondent(s): Quan Luu Respondent Lawyers(s): Quan The Luu Arbitrator(s): James A. Parker Hearing Site: Houston, TX | ||
| 17-01803 | 04/09/2018 | Claimant(s): Bryan Kaarlsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, Next Financial Group. Respondent Lawyers(s): John T. Unger, Jon D. Kaplon Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX | ||
| 17-02727 | 04/03/2018 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Jack D. Ballard Respondent(s): Anthony Bui Respondent Lawyers(s): Anthony Thuy Bui Arbitrator(s): Hearing Site: Houston, TX |