Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-01052 | 10/22/2019 | Claimant(s): Joshua Kampf, Thomas Hutchison Claimant Lawyers(s): Joel Wertman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Robert Titus, Richard Hallett Nichol, Michael P. Breton Hearing Site: Hartford, CT | ||
| 19-01115 | 10/22/2019 | Claimant(s): Jennifer Turner Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Neil S. Jasper Hearing Site: Los Angeles, CA | ||
| 18-03117 | 10/21/2019 | Claimant(s): John Bradley Claimant Lawyers(s): Michael O'Gara Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Olivia Lee Jones Arbitrator(s): Julius Z. Frager Hearing Site: Cincinnati, OH | ||
| 18-04322 | 10/21/2019 | Claimant(s): Sandeep Varma, Steven Musser Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 18-04386 | 10/21/2019 | Claimant(s): Kevin Cox Claimant Lawyers(s): Harris Freedman Respondent(s): Morgan Stanley Respondent Lawyers(s): Trae D. Meyr Arbitrator(s): Karl A. Vogeler Hearing Site: Tampa, FL | ||
| 19-01108 | 10/21/2019 | Claimant(s): Moses Rosario Claimant Lawyers(s): Moses Rosario Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffery D. Rodgers Arbitrator(s): Theodore Moreines, Morton S. Bunis, Joan Dawn Hogarth Hearing Site: Newark, NJ | ||
| 19-00649 | 10/18/2019 | Claimant(s): Wesley Singleton Claimant Lawyers(s): Stephan Louviere Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Patricia Ann Tracey Hearing Site: Charlotte, NC | ||
| 19-01213 | 10/18/2019 | Claimant(s): Roberto De Desus Pou 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): Seth L. Finkel Hearing Site: San Juan, PR | ||
| 19-01681 | 10/18/2019 | Claimant(s): Benjamin Sax Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Robert J. Kheel Hearing Site: New York, NY | ||
| 19-01872 | 10/18/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC Claimant Lawyers(s): Trent M. Latta Respondent(s): John Baron Respondent Lawyers(s): John Antonio Baron Arbitrator(s): Howard R. Gaines Hearing Site: Salt Lake City, UT |