Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 10-04465 | 07/02/2014 | Claimant(s): Daniel Becerra Claimant Lawyers(s): S. Adam Spiewak Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Jodi S. Cohen Arbitrator(s): Basil Lewis, Richard J. Stall, Joseph C. Watson Hearing Site: Los Angeles, CA | ||
| 13-02986 | 07/02/2014 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Todd Ratner Respondent(s): Respondent Lawyers(s): Arbitrator(s): Charles G. Michaels Hearing Site: Denver, CO | ||
| 13-03137 | 07/02/2014 | Claimant(s): Ralph Autuore Claimant Lawyers(s): William H. Connolly Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Stuart T. Rebish Arbitrator(s): Jeffrey Steinberg Hearing Site: Philadelphia, PA | ||
| 13-03424 | 07/02/2014 | Claimant(s): Morgan Stanley, Stephen Daughdrill Claimant Lawyers(s): Julie Wilson Portera Respondent(s): George Sullivan Respondent Lawyers(s): P. Bradley Murray Arbitrator(s): Allen J. Krouse Hearing Site: Birmingham, AL | Expungement | |
| 13-03661 | 07/02/2014 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Jonathan Sokolowski Respondent(s): Kenneth Koger Respondent Lawyers(s): Kenneth Ray Koger Arbitrator(s): Jeffrey W. Finke Hearing Site: Chicago, IL | ||
| 11-04672 | 07/01/2014 | Claimant(s): Claimant Lawyers(s): Respondent(s): Aaron Foley, Daniel Joyce, Joel Ravitz, Mark Minichiello, Moors & Cabot., Quincy Cass Associatesorporated Respondent Lawyers(s): David L. Ward, Sylvia M. Scott, Timothy J. Perry Arbitrator(s): Mary C. Kelleher, Stephen M. Acerra, Frank Sanclemente Hearing Site: Boston, MA | ||
| 13-03435 | 07/01/2014 | Claimant(s): Lisa Puntillo Claimant Lawyers(s): Carlos Ricca Respondent(s): Bradley Tolkin, Ira Theodore, Margaret Tolkin Respondent Lawyers(s): Brian Brick Arbitrator(s): Clifford Matthew Olson Hearing Site: New York, NY | Expungement | |
| 12-04223 | 06/27/2014 | Claimant(s): Kovack Securities Inc. Claimant Lawyers(s): Walter J. Mathews Respondent(s): Respondent Lawyers(s): Arbitrator(s): Joan M. Traub Hearing Site: New York, NY | ||
| 13-03471 | 06/25/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Thomas Ambrose Respondent Lawyers(s): Thomas Kevin Ambrose Arbitrator(s): David Paul Clark Hearing Site: Wilmington, DE | ||
| 14-00957 | 06/25/2014 | Claimant(s): Edward D. Jones & Co., L.P. Claimant Lawyers(s): Harry D. Frisch Respondent(s): Danny Lugar Respondent Lawyers(s): W. David Paxton Arbitrator(s): Stuart H. Dunn, Arthur J. Salzberg, Ramon M. Brinkman Hearing Site: Richmond, VA |