Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Jeffrey A. Ziesman Arbitrator(s): Leonard Arthur Nelson Hearing Site: Minneapolis, MN | ||
| 20-01426 | 01/13/2021 | Claimant(s): James Dy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Robert E. Anderson Hearing Site: Jersey City, NJ | ||
| 20-02062 | 01/13/2021 | Claimant(s): Francisco Almada Claimant Lawyers(s): Christopher Warren Respondent(s): Union Capital Company Respondent Lawyers(s): Joseph Bodkin Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-02227 | 01/13/2021 | Claimant(s): Joseph Dimauro Claimant Lawyers(s): Brittany Weiner Respondent(s): Equitable Advisors Respondent Lawyers(s): Annette K. Ebright Arbitrator(s): Joan Maxine Secofsky Hearing Site: New York, NY | ||
| 20-02521 | 01/13/2021 | Claimant(s): Anthony Bagneschi Claimant Lawyers(s): Kurt Zimmerman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Alyson Terrell Arbitrator(s): Timothy J. Currier Hearing Site: Detroit, MI | ||
| 20-01298 | 01/12/2021 | Claimant(s): Christopher Knutson Claimant Lawyers(s): Harry Meyer Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Kevin Meade Arbitrator(s): Edward W. Morris Hearing Site: New York, NY | ||
| 20-01317 | 01/12/2021 | Claimant(s): Lori Sackler Claimant Lawyers(s): Lawrence R. Gelber Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Annamaria Boccia Smith Hearing Site: Jersey City, NJ | ||
| 19-02197 | 01/11/2021 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Michael Naccarato Respondent(s): John Schmidt Respondent Lawyers(s): John Greg Schmidt Arbitrator(s): Michael L. Lyons, Michael J. Meeusen, Scott C. Matasar Hearing Site: Cincinnati, OH | ||
| 19-02674 | 01/11/2021 | Claimant(s): Kenneth Lynn Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Ann C. Northern Hearing Site: New York, NY | ||
| 20-01350 | 01/11/2021 | Claimant(s): Douglas Wall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX |