Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01177 | 11/13/2023 | Claimant(s): Chanh Truong Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Ralph A. Cotton Hearing Site: San Francisco, CA | ||
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities., SII Investments. Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden Arbitrator(s): Michael F. Jordan Hearing Site: Chicago, IL | ||
| 23-01158 | 11/10/2023 | Claimant(s): Allen Ostrofe Claimant Lawyers(s): John D. Stewart Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Daniel M. Yamshon Hearing Site: Reno, NV | ||
| 23-01077 | 11/10/2023 | Claimant(s): Joon Rhee Claimant Lawyers(s): Robert M. Bursky Respondent(s): National Securities Corporation Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Joan Maxine Secofsky, Jill Pilgrim, Jill I. Gross Hearing Site: New York, NY | ||
| 23-01371 | 11/10/2023 | Claimant(s): Michael Fantasia Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. PIzzitola Arbitrator(s): Susanne J. Hollander Hearing Site: Chicago, IL | ||
| 23-01422 | 11/10/2023 | Claimant(s): Andrew Rodriguez Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): John P. Cullem Hearing Site: Jacksonville, FL | ||
| 23-01998 | 11/09/2023 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Marlon Scott Respondent Lawyers(s): Marlon Keith Scott Arbitrator(s): Heather Gaile Layton Hearing Site: Houston, TX | ||
| 23-01059 | 11/09/2023 | Claimant(s): Mark Romaine Claimant Lawyers(s): Craig A. Riha Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Mark A. Pratzel Arbitrator(s): Susan Manca Hearing Site: New York, NY | ||
| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Roxanna V. Gonzalez Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 23-00773 | 11/09/2023 | Claimant(s): Peter Lenane Claimant Lawyers(s): Christopher P. Milazzo Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): Elizabeth R. Aylett Arbitrator(s): Larry A. Kimmel, Matthew Fenster, Harvey E. Benjamin Hearing Site: New York, NY |