Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 14-03553 | 06/02/2015 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Carol H. Li Respondent(s): Jeffrey Wesson Respondent Lawyers(s): Jeffrey Leo Wesson Arbitrator(s): Thomas C. Tretter Hearing Site: Manchester, NH | $0 | |
| 15-00194 | 06/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Doug Hyman Respondent(s): Lloyd Clunie Respondent Lawyers(s): Lloyd Neale Clunie Arbitrator(s): Robert E. Thompson Hearing Site: San Francisco, CA | $0 | |
| 14-01416 | 06/01/2015 | Claimant(s): Robert Armstrong Claimant Lawyers(s): William W. Allen Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon-Smith Arbitrator(s): D. Bruce Shine Hearing Site: Louisville, KY | $0 | |
| 14-03322 | 06/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Monica M. Littman Respondent(s): Phillip Conley Respondent Lawyers(s): Phillip Wayne Conley Arbitrator(s): G. Daniel Carney Hearing Site: Pittsburgh, PA | $0 | |
| 14-03554 | 06/01/2015 | Claimant(s): Barclays Capital Inc. Claimant Lawyers(s): V. Justin Arpey Respondent(s): Gerhard Van Arkel Respondent Lawyers(s): Gerhard Thomas Van Arkel Arbitrator(s): Gregory Hunter Mathews Hearing Site: Philadelphia, PA | $0 | |
| 13-01897 | 05/29/2015 | Claimant(s): Leerink Swann LLC Claimant Lawyers(s): Peter A. Brown Respondent(s): Scott Price Respondent Lawyers(s): Peter R. Pendergast Arbitrator(s): John B. Kinsellagh Hearing Site: Boston, MA | $0 | |
| 14-02722 | 05/29/2015 | Claimant(s): John Nardone, Morgan Stanley Claimant Lawyers(s): Chan H. Nam Respondent(s): Elizabeth Lastowski Respondent Lawyers(s): Christopher Jones Arbitrator(s): Jim Geiger, Stephen T. Mayhew, Laura A. Kaster Hearing Site: Philadelphia, PA | $0 | |
| 14-03753 | 05/29/2015 | Claimant(s): Raymond, James & Associates. Claimant Lawyers(s): Robert K. Jamieson Respondent(s): Armando Wood Respondent Lawyers(s): Armando Wood Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | $0 | |
| 14-00364 | 05/27/2015 | Claimant(s): Ruben Lesmes Claimant Lawyers(s): Donald L. Kreindler Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): G. Wayne Hillis Arbitrator(s): Michael Lau, Robert K. Levenson, Scott Louis Fishman Hearing Site: Miami, FL | $0 | |
| 14-00846 | 05/26/2015 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Jonathan Sokolowski Respondent(s): James Clay Respondent Lawyers(s): James Randall Clay Arbitrator(s): Hugh J. Moore, David T. Maddux, Arthur L. Tepper Hearing Site: Nashville, TN | $0 |