Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02074 | 03/28/2024 | Claimant(s): Ann Stewart Claimant Lawyers(s): Christopher Lufrano Respondent(s): Parkland Securities Respondent Lawyers(s): Irit Walters Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO |  | Dismissed by Rule 12206 |
| 23-01386 | 03/28/2024 | Claimant(s): Hua Fan Claimant Lawyers(s): Hua Fan Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jeffrey D. Rogers Arbitrator(s): Natalie Panossian-Bassler Hearing Site: Los Angeles, CA | | $0 |
| 23-01030 | 03/28/2024 | Claimant(s): Dorothy Harnish, Glenn Harnish Claimant Lawyers(s): Michael S. Hill Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Gregory Hunter Mathews Hearing Site: Philadelphia, PA | | $225 |
| 23-03278 | 03/26/2024 | Claimant(s): Marianne Kuhlow Claimant Lawyers(s): Michael J. Betts Respondent(s): Alexander Hall, Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Hearing Site: Cleveland, OH | | $600 |
| 23-00196 | 03/26/2024 | Claimant(s): Shian-Chang Yu Claimant Lawyers(s): Kamal Ghali Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Jason O. Billy Arbitrator(s): Vivian L. Kral, Philip Aaron Tymon, Ann Elizabeth Sarli Hearing Site: San Francisco, CA | | $1,491,020 |
| 22-02572 | 03/25/2024 | Claimant(s): Emma Ward Claimant Lawyers(s): Scott L. Silver Respondent(s): PHX Financial. Respondent Lawyers(s): Michael P. Gilmore Arbitrator(s): Jeffrey L. Malek, Mark T Risner, Stephen Howard Marcus Hearing Site: Los Angeles, CA | | Expungement |
| 23-01369 | 03/21/2024 | Claimant(s): Sarra He Claimant Lawyers(s): Sarra He Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher A. Stecher Arbitrator(s): Mitchell S. Ostwald Hearing Site: San Francisco, CA | | $10,303 |
| 23-03104 | 03/21/2024 | Claimant(s): Goshgar Huseynov Claimant Lawyers(s): Goshgar Huseynov Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Joseph L. Siders Arbitrator(s): James F. Carlson Hearing Site: Chicago, IL | | $0 |
| 23-01079 | 03/21/2024 | Claimant(s): Blake Schultz Claimant Lawyers(s): L. Lars Hulsebus Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Mark A. Frankel, Peter F. Alepra, Colby L. Rhodd Hearing Site: Des Moines, IA | | $0 |
| 22-02405 | 03/20/2024 | Claimant(s): Kwesi Buabeng Claimant Lawyers(s): Robert Savage Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph C. Coates Arbitrator(s): Lawrence R. Mills, Mary Mackey, Anna Arcellana Matheson Hearing Site: San Francisco, CA | | $0 |