Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-04037 | 09/16/2019 | Claimant(s): Erinn Ford Claimant Lawyers(s): Amir Tadjedin Respondent(s): Cetera Advisors LLC, Pacific West Securities. Respondent Lawyers(s): Jeremy Carr, Tony Pizelo Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO | ||
| 18-04058 | 09/16/2019 | Claimant(s): John Cartolano Claimant Lawyers(s): Robert D. Mitchell Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Marcia A. Herrmann, Michael Kelley, Ernst Janensch Hearing Site: Phoenix, AZ | ||
| 18-04389 | 09/16/2019 | Claimant(s): Jeff Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy L. Moore Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Dallas, TX | ||
| 19-00048 | 09/16/2019 | Claimant(s): Thomas Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): American Independent Securities Group, L Respondent Lawyers(s): W. Gregory Lockwood Arbitrator(s): Daniel B. MacLeod Hearing Site: Portland, OR | ||
| 19-00995 | 09/16/2019 | Claimant(s): Scott Genzman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): I Douglas Dunipace Hearing Site: Phoenix, AZ | ||
| 16-03665 | 09/13/2019 | Claimant(s): Gerald Sharpe Claimant Lawyers(s): John E. Lawlor Respondent(s): David Levine, David Rich, Glenn Worman, National Securities Corporation, Robert Fagenson Respondent Lawyers(s): Richard Roth Arbitrator(s): Robert J. McDonnell, Marvin L. Schuldiner, Paul G. Garjian Hearing Site: Newark, NJ | ||
| 18-04071 | 09/13/2019 | Claimant(s): John Moy Claimant Lawyers(s): Jennifer Willey Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Michael Naccarato Arbitrator(s): David L. Ruderman, Marian Smith Glenn, Joan M. Smith Hearing Site: Baltimore, MD | ||
| 19-00129 | 09/13/2019 | Claimant(s): Joseph Glodek Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): William Scott & Co. L.L.C. Respondent Lawyers(s): Robert Hess Arbitrator(s): Jay Alan Kranis Hearing Site: Newark, NJ | ||
| 19-00835 | 09/13/2019 | Claimant(s): Austin Frye Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplan Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL | ||
| 18-00565 | 09/12/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): John P. Leonard Respondent(s): Alexander DiMartini Respondent Lawyers(s): Dennis Houdek Arbitrator(s): Hearing Site: New York, NY |