Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-02536 | 08/31/2023 | Claimant(s): Ralph Adamo Claimant Lawyers(s): Harris Freedman Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Gregory M. Curley Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA | ||
| 21-02855 | 08/30/2023 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Scott A. La Porta Respondent(s): Jeffrey McHale Respondent Lawyers(s): Steven N. Fuller Arbitrator(s): Hearing Site: Boston, MA | ||
| 22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen Claimant Lawyers(s): S. Bruce Hiran Respondent(s): BBVA Securities Inc. Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX | ||
| 23-00194 | 08/25/2023 | Claimant(s): Shelby Rothman Claimant Lawyers(s): Harris Freedman Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Charles LaChaussee Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA | ||
| 22-02309 | 08/25/2023 | Claimant(s): Harry Orth, Kimberlee Orth Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Louis P. Wagman Hearing Site: Wilmington, DE | ||
| 23-01149 | 08/25/2023 | Claimant(s): Erik Utzinger Claimant Lawyers(s): Erik Douglas Utzinger Respondent(s): World Group Securities. Respondent Lawyers(s): Susan D. Duff Arbitrator(s): Charles G. Michaels Hearing Site: Denver, CO | ||
| 23-01165 | 08/25/2023 | Claimant(s): Lashell Lentz Claimant Lawyers(s): David I. Hantman Respondent(s): Morgan Stanley Respondent Lawyers(s): Gina Shlaferman Arbitrator(s): Leon Fox Hearing Site: Milwaukee, WI | ||
| 22-02741 | 08/24/2023 | Claimant(s): Eric Dade Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Concourse Financial Group Securities, In Respondent Lawyers(s): Destinee Campbell Small Arbitrator(s): James Michael Belk Hearing Site: Charlotte, NC | ||
| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | ||
| 23-00210 | 08/21/2023 | Claimant(s): Jon Newman Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Cutler, Jay Alan Kranis, Lynda Kommel-Browne Hearing Site: New York, NY |