Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03151 | 09/14/2021 | Claimant(s): Matthew West Claimant Lawyers(s): Dochtor Kennedy Respondent(s): USCA RIA LLC, USCA Securities LLC Respondent Lawyers(s): Therese L. Surprenant Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 21-01544 | 09/14/2021 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): John W. Joyce Respondent(s): Cesar Olivares Respondent Lawyers(s): Cesar Emilio Olivares Arbitrator(s): Michael S. Yauch Hearing Site: Houston, TX | ||
| 21-00319 | 09/08/2021 | Claimant(s): Richard Kaplan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Legacy Asset Securities. Respondent Lawyers(s): Joseph R. Birkofer Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 19-02940 | 08/30/2021 | Claimant(s): Mark Sitter Claimant Lawyers(s): Esther Treneer Respondent(s): Calton & Associates., Capital Financial Services. Respondent Lawyers(s): Gordon Dihle, Martin S. Schexnayder Arbitrator(s): James Wallace Boeckman, Stephanie E. Simmons, Curtis Jay Meador Hearing Site: Houston, TX | ||
| 21-00325 | 08/24/2021 | Claimant(s): Kelly Chimera Claimant Lawyers(s): Steven J. Berry Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeff Palmer Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 20-04174 | 08/16/2021 | Claimant(s): Christopher Hamm Claimant Lawyers(s): Brian Luther Respondent(s): Advantage Capital Corporation Respondent Lawyers(s): Helen Prater Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX | ||
| 21-00863 | 08/12/2021 | Claimant(s): Michael Rudelson Claimant Lawyers(s): Cynthia R Moulton Respondent(s): Kestra Investment Services Respondent Lawyers(s): Shawn Shook Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 20-00633 | 08/09/2021 | Claimant(s): Thomas Archer Claimant Lawyers(s): Leonard J. Meyer Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Martin S. Schexnayder Arbitrator(s): Elena DiIorio, Jonathan Charles Day, Bill Ray Haley Hearing Site: Houston, TX | ||
| 20-02590 | 06/15/2021 | Claimant(s): Richy Scoggin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 20-03097 | 06/14/2021 | Claimant(s): Michael Calvin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX |