Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-02982 | 06/28/2023 | Claimant(s): Steven Buchanan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX | ||
| 22-02723 | 06/28/2023 | Claimant(s): Frederick Kort Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL | ||
| 22-02758 | 06/28/2023 | Claimant(s): Spartan Capital Securities Claimant Lawyers(s): Robert I. Rabinowitz Respondent(s): Albert Foronda Respondent Lawyers(s): Albert Foronda Arbitrator(s): Arthur Neil Tolciss Hearing Site: New York, NY | ||
| 22-01475 | 06/27/2023 | Claimant(s): Thomas Pollock Claimant Lawyers(s): Robert L. Herskovits Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Laurie A. Perez Arbitrator(s): Mark A Bilawsky Hearing Site: Boca Raton, FL | ||
| 22-02232 | 06/27/2023 | Claimant(s): Sonia Pou Monagas Claimant Lawyers(s): Roberto C Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Louis David Huss Hearing Site: San Juan, PR | ||
| 22-01156 | 06/26/2023 | Claimant(s): Kevin Ho Claimant Lawyers(s): Jeffrey A. Feldman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jason E. Murtagh Arbitrator(s): Arocles Aguilar Hearing Site: San Francisco, CA | ||
| 22-01980 | 06/26/2023 | Claimant(s): Christopher Dame Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Steven Meyrich Hearing Site: Salt Lake City, UT | ||
| 22-00492 | 06/26/2023 | Claimant(s): Annmarie Ryan Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | Expungement | |
| 21-02075 | 06/26/2023 | Claimant(s): Bernard Audet Claimant Lawyers(s): Matthew R. Major Respondent(s): New England Securities Corporation Respondent Lawyers(s): Martin Harris Arbitrator(s): Alan M. Schankel, John James McGovern, Robin L. Lewis Hearing Site: Philadelphia, PA | ||
| 22-02662 | 06/23/2023 | Claimant(s): James Ugobono Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Stuart K. Furman Hearing Site: San Juan, PR |