Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 13-01545 | 07/16/2014 | Claimant(s): Gloria Kirby, Beneficiary to the Maynard J. Kirby IRA, Gloria M. Kirby IRA Claimant Lawyers(s): Robert A. Kantas, Ryan Cook Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy B. Atkins Arbitrator(s): John A. Baynes, Stephen P. Hoffman, James Edwin Jackson Hearing Site: Columbia, SC |  | Expungement |
| 13-02943 | 05/15/2014 | Claimant(s): Tyler Evans Claimant Lawyers(s): Tyler Evans Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | | $0 |
| 12-03318 | 11/05/2013 | Claimant(s): Bennet Phillips Claimant Lawyers(s): Johanna S. Fowler Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph Calabrese Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | | Expungement |
| 10-05079 | 08/12/2013 | Claimant(s): Estate of Wilma S. Yount Claimant Lawyers(s): Steven D. Toskes Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): William A. Hohauser Arbitrator(s): Stephen P. Hoffman, Thomas Doyle Blum, Frank V. Tutone Hearing Site: Charlotte, NC | | Expungement |
| 12-01678 | 04/12/2013 | Claimant(s): Ina Alexander Claimant Lawyers(s): Johanna S. Fowler Respondent(s): Morgan Stanley Respondent Lawyers(s): Gregg P. Garneau Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | | Expungement |
| 12-00306 | 03/05/2013 | Claimant(s): Charles W. Stager Trust B Claimant Lawyers(s): Wendy Stager Respondent(s): Frederick Walker Respondent Lawyers(s): Gregory B. Simon Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | | $25,704 |
| 12-01708 | 02/04/2013 | Claimant(s): William Gonce Claimant Lawyers(s): Johanna S. Fowler Respondent(s): Edward Jones Respondent Lawyers(s): David N. Jonson Arbitrator(s): Stephen P. Hoffman, Matthew J. Hoysa, Michael J. Pasquale Hearing Site: Charlotte, NC | | $20,000 |
| 11-02035 | 11/28/2012 | Claimant(s): Phillip Sherrill Claimant Lawyers(s): John B. Veach Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Craig Kuglar Arbitrator(s): John H. Griffing, Stephen P. Hoffman, Daphne Tippens Chisolm Hearing Site: Charlotte, NC | | $283,862 |
| 09-01964 | 05/05/2010 | Claimant(s): David Meyers Claimant Lawyers(s): J. Pat Sadler Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): A. Kelly Brennan Arbitrator(s): Howard S. Levine, Stephen P. Hoffman, Charles E. White Hearing Site: Atlanta, GA | | $1,298,280 |
| 07-03173 | 04/23/2008 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin Joseph D'Elia Respondent(s): Bradley Winer Respondent Lawyers(s): Bradley Winer Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | | $0 |