Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01142 | 04/28/2021 | Claimant(s): William Phillips Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley DW Inc., UBS Financial Services Inc. Respondent Lawyers(s): Christopher M. Sacco, Omar Perez Arbitrator(s): Neil Harvey Smith Hearing Site: Nashville, TN | ||
| 20-02894 | 04/28/2021 | Claimant(s): Grant Johnstone Claimant Lawyers(s): John T. Carr Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Charles Scott McClellan Hearing Site: Portland, OR | ||
| 20-03217 | 04/28/2021 | Claimant(s): William Hocutt Claimant Lawyers(s): Anne T. Freeland Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Joseph Neal Richardson Hearing Site: Birmingham, AL | ||
| 20-02911 | 04/27/2021 | Claimant(s): Walter Pardo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): McLaughlin, Piven, Vogel Securities Respondent Lawyers(s): Mark G. McLaughlin Arbitrator(s): Paul Bennett Marrow Hearing Site: New York, NY | ||
| 20-02834 | 04/26/2021 | Claimant(s): William Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Kyle B. Osting Arbitrator(s): Michael James Malone Hearing Site: Washington, DC | ||
| 20-01984 | 04/23/2021 | Claimant(s): Jeff Jen Claimant Lawyers(s): Benjamin Winograd Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Robyn C. Crowther Arbitrator(s): Natalie Panossian-Bassler Hearing Site: Los Angeles, CA | ||
| 20-02174 | 04/23/2021 | Claimant(s): Oscar Seidel Claimant Lawyers(s): Oscar Francisco Seidel Respondent(s): Grace Financial Group LLC Respondent Lawyers(s): Brian Villante Arbitrator(s): Rory M. McLaughlin, Paul C. Tang, Dalia Zaza Hearing Site: New York, NY | ||
| 20-02540 | 04/23/2021 | Claimant(s): Matthew Gaglio Claimant Lawyers(s): Zachary Hayes-Macaluso Respondent(s): Park Avenue Securities LLC Respondent Lawyers(s): Sherry Shore Arbitrator(s): Michael H DuBoff Hearing Site: New York, NY | ||
| 20-02613 | 04/23/2021 | Claimant(s): Joseph Eschleman Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Philip Aaron Tymon Hearing Site: San Francisco, CA | ||
| 20-02704 | 04/23/2021 | Claimant(s): Christopher Risher Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): John F. Burns Hearing Site: Louisville, KY |