Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-02912 | 04/29/2020 | Claimant(s): James Yu Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Barbara Davis Solomon Hearing Site: Washington, DC | ||
| 19-00217 | 04/28/2020 | Claimant(s): Clayton Shum Claimant Lawyers(s): Harris Freedman Respondent(s): First Midwest Securities. Respondent Lawyers(s): David Nevinski Arbitrator(s): Michael Lancaster Garcia Hearing Site: San Francisco, CA | ||
| 19-00967 | 04/27/2020 | Claimant(s): Ralph Roth Claimant Lawyers(s): Louis Tambaro Respondent(s): Cetera Advisor Networks Respondent Lawyers(s): Jeremy Carr Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY | ||
| 19-02748 | 04/27/2020 | Claimant(s): Michael Hearn Claimant Lawyers(s): Michael Christopher Hearn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen Hearing Site: Syracuse, NY | ||
| 19-01623 | 04/24/2020 | Claimant(s): Eric Raether Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Thomas K. Anderson Arbitrator(s): Michael S. Matek Hearing Site: Milwaukee, WI | ||
| 19-02971 | 04/24/2020 | Claimant(s): Brandt Brock Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): C. Sumpter Logan Hearing Site: Oklahoma City, OK | ||
| 19-01650 | 04/23/2020 | Claimant(s): Steven Greer Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Kalos Capital. Respondent Lawyers(s): M. Michael McComb Arbitrator(s): Richard James Igou Hearing Site: Charlotte, NC | ||
| 20-00125 | 04/23/2020 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Carolyn LaMar Respondent(s): James McEnerney Respondent Lawyers(s): James L. McEnerney Arbitrator(s): Philip J. Glick Hearing Site: Kansas City, MO | ||
| 19-02802 | 04/22/2020 | Claimant(s): Mary Bennett Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ashley K. Kelley Arbitrator(s): Jane Tam Hearing Site: Richmond, VA | ||
| 19-02962 | 04/22/2020 | Claimant(s): Chuck Roberts Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Ethan Weinberg Arbitrator(s): Robert E. Anderson Hearing Site: New York, NY |