Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-03453 | 07/10/2020 | Claimant(s): Kevin Pentz Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Lindsay Wuller Aggarwal Arbitrator(s): Daniel B. MacLeod Hearing Site: Seattle, WA | ||
| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): John B. Clark Respondent(s): James Shafferman Respondent Lawyers(s): James Frederick Shafferman Arbitrator(s): Jeffrey Ackermann Hearing Site: New Orleans, LA | ||
| 19-03285 | 07/09/2020 | Claimant(s): Michael Greenstone Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa Gworek Arbitrator(s): Michael H DuBoff Hearing Site: Newark, NJ | ||
| 20-01006 | 07/09/2020 | Claimant(s): Ameriprise Financial Services Claimant Lawyers(s): Louis M. Ciavaarra Respondent(s): Paul Stanford Respondent Lawyers(s): Paul Stanford Arbitrator(s): Michael P. Breton Hearing Site: Boston, MA | ||
| 19-03476 | 07/08/2020 | Claimant(s): Joseph Eschleman Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA | ||
| 20-00190 | 07/08/2020 | Claimant(s): Neil Canell Claimant Lawyers(s): Kurt Kalberer Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Joan M. Traub Hearing Site: New York, NY | ||
| 19-02593 | 07/07/2020 | Claimant(s): Stephen Thomas Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Joyce A. Mitchell Hearing Site: Charlotte, NC | ||
| 19-03319 | 07/07/2020 | Claimant(s): Aaron Clark Claimant Lawyers(s): Russell Chapman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Andrew M. Mintzer Hearing Site: Los Angeles, CA | ||
| 20-00327 | 07/07/2020 | Claimant(s): Jose Chaves Claimant Lawyers(s): Linette Figueroa-Torres Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Sonia M. Lopez del Valle Arbitrator(s): Martin A. Feigenbaum Hearing Site: San Juan, PR | ||
| 20-00795 | 07/07/2020 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Joseph Likens Respondent Lawyers(s): Joseph Alan Likens Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO |