Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 10-05041 | 06/03/2011 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Megan A. Smith Respondent(s): Joseph Bazbaz Respondent Lawyers(s): Joseph Bazbaz Arbitrator(s): Charles A. Joplin Hearing Site: Dallas, TX | ||
| 10-05331 | 06/03/2011 | Claimant(s): Andrew Duckett Claimant Lawyers(s): Andrew James Duckett Respondent(s): LPL Financial Corporation Respondent Lawyers(s): James D. Vannah Arbitrator(s): Walter P. Hitchcock Hearing Site: San Francisco, CA | ||
| 10-04158 | 06/02/2011 | Claimant(s): K.C. Ward Financial LLC Claimant Lawyers(s): Charles Carrillo Respondent(s): James Mirenda Respondent Lawyers(s): Brian Reis Arbitrator(s): Peter A. Goldman Hearing Site: New York, NY | ||
| 10-00943 | 06/01/2011 | Claimant(s): Juan Carvajal Claimant Lawyers(s): V. Michael Arias Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Christin M. Choi Arbitrator(s): Jonathan H. Parker, Jeffrey R. Roth, Barry David Thorpe Hearing Site: Miami, FL | ||
| 10-02266 | 06/01/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): David Wilson Respondent Lawyers(s): David P. Wilson Arbitrator(s): Maxel (Bud) B. Silverberg Hearing Site: Little Rock, AR | ||
| 10-03433 | 06/01/2011 | Claimant(s): Ken Rubin Claimant Lawyers(s): Ken Rubin Respondent(s): Joan Perry, Take Charge Financial! Respondent Lawyers(s): Joan Perry Arbitrator(s): Dean J. Dietrich, Jonathan H. Krotinger, David C. Tateosian Hearing Site: San Francisco, CA | ||
| 10-04842 | 06/01/2011 | Claimant(s): Securities America. Claimant Lawyers(s): Kelly R Davis Respondent(s): Kathleen Loflin Respondent Lawyers(s): Kathleen Jena Loflin Arbitrator(s): Guy K. Stewart Hearing Site: Orlando, FL | ||
| 10-05461 | 06/01/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Nicole Stadelmaier Respondent(s): John Meacham Respondent Lawyers(s): John Bulkley Meacham Arbitrator(s): E. William Pastor Hearing Site: Baltimore, MD | ||
| 10-05617 | 06/01/2011 | Claimant(s): David Gillaspy Claimant Lawyers(s): David Gillaspy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Janice L. Sperow Hearing Site: San Diego, CA | Expungement | |
| 11-00202 | 06/01/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Nicki Samson Respondent(s): Respondent Lawyers(s): Arbitrator(s): Steven T. Stern Hearing Site: Philadelphia, PA |