Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00133 | 08/08/2023 | Claimant(s): Scott Scherer Claimant Lawyers(s): Samantha Pastor Respondent(s): Preferred Capital Securities Respondent Lawyers(s): Orit Small Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA | ||
| 22-00949 | 08/07/2023 | Claimant(s): Sean Caplen Claimant Lawyers(s): Harris Freedman Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Mark A Bilawsky Hearing Site: Boca Raton, FL | ||
| 22-02627 | 08/07/2023 | Claimant(s): Kirby McDonald Claimant Lawyers(s): Jessica E. Levine Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): David Smitham Arbitrator(s): Charles G. Michaels Hearing Site: Omaha, NE | ||
| 23-00432 | 08/07/2023 | Claimant(s): Peter Klein Claimant Lawyers(s): David I. Hantman Respondent(s): Hightower Securities Respondent Lawyers(s): Paul Wascher Arbitrator(s): Lynne M. Reid-McQueen Hearing Site: New York, NY | ||
| 23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Michael J. Ahlstrom Hearing Site: Nashville, TN | ||
| 23-00428 | 08/04/2023 | Claimant(s): David Bower, Russell Cooper Claimant Lawyers(s): David I. Hantman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Thomas W. Allen Hearing Site: Dallas, TX | ||
| 22-01567 | 08/04/2023 | Claimant(s): Paul Knoblich Claimant Lawyers(s): Samantha Pastor Respondent(s): Foothill Securities. Respondent Lawyers(s): Jeff Naylor Arbitrator(s): Carlos Richard Mangum, Daniel M. Yamshon, Mary Margaret Bush Hearing Site: San Francisco, CA | ||
| 22-02523 | 08/03/2023 | Claimant(s): Donald Terry Claimant Lawyers(s): Brian Luther Respondent(s): Principal Securities. Respondent Lawyers(s): Destinee Campbell Small Arbitrator(s): Robert C. Rice Hearing Site: Houston, TX | ||
| 20-03018 | 08/03/2023 | Claimant(s): Kevin Fay Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc. Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Joan M. Traub Hearing Site: Jersey City, NJ | ||
| 22-00905 | 08/03/2023 | Claimant(s): Thomas Cleary Claimant Lawyers(s): Jeremy L. Bartell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Andrew W. Sidman Arbitrator(s): Jane C. Carney, Kathy Davidson Ireland, David Ivan Brochstein Hearing Site: Washington, DC |