Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00140 | 12/22/2020 | Claimant(s): John Laughlin Roth IRA Claimant Lawyers(s): Daniel D'Costa Respondent(s): Portfolio Advisors Alliance Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): James R. Stirn Hearing Site: Washington, DC |  | $15,000 |
| 19-01707 | 12/10/2020 | Claimant(s): Karen Grant Claimant Lawyers(s): Karen Grant Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): David Paul Clark, Lisa Blunk Johnson, Peter Matthew Clyne Hearing Site: Washington, DC | | $0 |
| 20-01216 | 09/28/2020 | Claimant(s): William McAndrew Claimant Lawyers(s): William H. McAndrew Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Richard P. Regan Hearing Site: Washington, DC | | $213 |
| 20-00241 | 08/03/2020 | Claimant(s): Edwin Lee Claimant Lawyers(s): Edwin Lee Respondent(s): Motif Investing. Respondent Lawyers(s): Robert Salvador Arbitrator(s): Janet Thomas Johnson Hearing Site: Washington, DC | | $38 |
| 19-01097 | 02/13/2020 | Claimant(s): Thomas Howes Claimant Lawyers(s): Thomas W. Howes Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink Hearing Site: Washington, DC | | Dismissed by Rule 12206/12504 |
| 18-01976 | 06/20/2019 | Claimant(s): Zephyr Fund Claimant Lawyers(s): Rod Holder Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joseph Siders Arbitrator(s): Jeffry L. Perlman, Kelli J. Jareaux, David Paul Clark Hearing Site: Washington, DC | | $12,800 |
| 18-02884 | 03/27/2019 | Claimant(s): William Portugal Claimant Lawyers(s): William Portugal Respondent(s): Roshan Loungani, Arete Wealth Management. Respondent Lawyers(s): UnBo (Bob) Chung Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC | | Expungement |
| 18-01846 | 02/07/2019 | Claimant(s): Anna Bjornson, Steven Bjornson Claimant Lawyers(s): Anna Bjornson, Steven Bjornson Respondent(s): Gary Gallagher, Voya Financial Advisors. Respondent Lawyers(s): Denis Dice Arbitrator(s): Joyce A. Mitchell Hearing Site: Washington, DC | | Expungement |
| 18-02210 | 10/17/2018 | Claimant(s): Howard King Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Cetera Advisors LLC Respondent Lawyers(s): Thomas Vays Arbitrator(s): Jeffry L. Perlman Hearing Site: Washington, DC | | $44,100 |
| 18-00943 | 08/06/2018 | Claimant(s): Vincent Chu Claimant Lawyers(s): Vincent Chu Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Robert Charkovsky Hearing Site: Washington, DC | | $375 |