Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-04383 | 09/12/2019 | Claimant(s): Todd Mitchell Claimant Lawyers(s): Daniel J. Donovan Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Jill B. Clarke Arbitrator(s): Brenda J. Stovall Hearing Site: Baltimore, MD | ||
| 19-00014 | 09/12/2019 | Claimant(s): Derek Myron Claimant Lawyers(s): Frances Menzer Respondent(s): Caplink Securities Respondent Lawyers(s): Scott L. Dahle Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA | ||
| 16-03359 | 09/11/2019 | Claimant(s): Thomas Carney Claimant Lawyers(s): William R. Lindsley Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Dean J. Dietrich, Mary H. Evans, Ann Elizabeth Sarli Hearing Site: San Francisco, CA | ||
| 18-02745 | 09/11/2019 | Claimant(s): Isidro Miramontes Claimant Lawyers(s): David Harrison Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Timothy L. Moore Arbitrator(s): Andrew M. Mintzer Hearing Site: Los Angeles, CA | ||
| 18-04358 | 09/11/2019 | Claimant(s): Wayne Wagner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Louis H Miron Hearing Site: Wilmington, DE | ||
| 18-04359 | 09/11/2019 | Claimant(s): Matthew Bradley Claimant Lawyers(s): Harris Freedman Respondent(s): Purshe Kaplan Sterling Investments Respondent Lawyers(s): David M. Purcell Arbitrator(s): Constance Ellen Boukidis Hearing Site: Los Angeles, CA | ||
| 19-00160 | 09/11/2019 | Claimant(s): Riad Shanawany Claimant Lawyers(s): Harris Freedman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Gerry A. Giurato Arbitrator(s): Elena G. Rodriguez Hearing Site: Boca Raton, FL | ||
| 19-00605 | 09/11/2019 | Claimant(s): Nicholas Sergio Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Brandy Pikus Arbitrator(s): Robert E. Anderson Hearing Site: Newark, NJ | ||
| 19-01059 | 09/11/2019 | Claimant(s): Paul Mante Claimant Lawyers(s): Alex R. Schmidt Respondent(s): The GMS Group Respondent Lawyers(s): Timothy Donohue Arbitrator(s): Robert E. Anderson Hearing Site: Newark, NJ | ||
| 19-00019 | 09/10/2019 | Claimant(s): Francesco Traina Claimant Lawyers(s): Michelle M. Atlas Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Carl Shechter Hearing Site: Boca Raton, FL |