Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01206 | 03/19/2024 | Claimant(s): Robert Cadena Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-01199 | 03/06/2024 | Claimant(s): William Dendy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Mina Madani Hearing Site: Houston, TX | ||
| 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 | ||
| 23-03042 | 03/01/2024 | Claimant(s): Michael Dawson Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX | ||
| 23-02777 | 02/29/2024 | Claimant(s): Daryl Allen Claimant Lawyers(s): Randi Perry Spallina Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX | ||
| 23-01341 | 02/14/2024 | Claimant(s): Champ Warren Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 23-00513 | 01/24/2024 | Claimant(s): Crystal Garrett Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX | ||
| 23-00790 | 01/24/2024 | Claimant(s): John Turner Claimant Lawyers(s): John Hitchings Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 22-02253 | 11/20/2023 | Claimant(s): Brian Stephens Claimant Lawyers(s): Gary S. Kessler Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Michael Edward Watts, Robert C. Rice, Kevin Colby Hearing Site: Houston, TX | ||
| 23-01998 | 11/09/2023 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Marlon Scott Respondent Lawyers(s): Marlon Keith Scott Arbitrator(s): Heather Gaile Layton Hearing Site: Houston, TX |