Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-02977 | 07/11/2023 | Claimant(s): Linda O'Connor Claimant Lawyers(s): Linda O'Connor Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Ronald Citron, Annamaria Boccia Smith, Edward W. Morris Hearing Site: New York, NY |  | Dismissed by Rule 12504 |
| 22-01990 | 07/11/2023 | Claimant(s): Jane Doyle Claimant Lawyers(s): Jane Doyle Respondent(s): Scott Schechter, NYLife Securities LLC Respondent Lawyers(s): Daniel A. Hetzel Arbitrator(s): Mark L Miller, Alan M. Wolper, Steven H. Vogel Hearing Site: Chicago, IL | | Expungement |
| 23-00422 | 07/10/2023 | Claimant(s): Charles Fulmore Claimant Lawyers(s): Charles S. Fulmore Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Karl A. Vogeler Hearing Site: Orlando, FL | | $41,850 |
| 22-01853 | 07/10/2023 | Claimant(s): Cathy Margoshes Claimant Lawyers(s): Ryan N. Chae Respondent(s): Chikezie Esiobu Respondent Lawyers(s): Gerry A. Giurato Arbitrator(s): Theresa Joan Rosenberg Hearing Site: Charlotte, NC | | Expungement |
| 23-00327 | 07/10/2023 | Claimant(s): David Kelly, Elizabeth Ann Kelly Claimant Lawyers(s): David M Kelly Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA | | $0 |
| 20-04055 | 07/07/2023 | Claimant(s): Grant Montgomery Claimant Lawyers(s): John Phillips Respondent(s): Carter, Terry & Company. Respondent Lawyers(s): Scott Holcomb Esq. Arbitrator(s): Barry Goldman, Lynn Hirschfeld Brahin, Brenda Adams Hearing Site: St. Louis, MO | | $100,000 |
| 21-02359 | 07/07/2023 | Claimant(s): Donna Dubroja Trust UA 11/19/09 Claimant Lawyers(s): Phyllis Sower Respondent(s): Christopher Wiedmar, Gregory Russell, Mitchell Barnes, Northwestern Mutual Investment Services Respondent Lawyers(s): Joel Wertman Arbitrator(s): Frederick Ramos, Raymond M. Kirtley, Jerry Gale McGrew Hearing Site: Louisville, KY | | Expungement |
| 23-00032 | 07/05/2023 | Claimant(s): Arthur Rifflard, Arthur Rifflard IRA Claimant Lawyers(s): Courtney M. Werning Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Shea O'Brien Hicks Arbitrator(s): Vincent S. Mezinko Hearing Site: Columbus, OH | | $0 |
| 23-00102 | 07/05/2023 | Claimant(s): Edward Sheinwald Claimant Lawyers(s): Edward Sheinwald Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): John E. Bersin Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL | | $300 |
| 22-01055 | 07/03/2023 | Claimant(s): Paul Mattera Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Charles E. Raynal Arbitrator(s): Patricia Ann Tracey Hearing Site: Raleigh, NC | | Expungement |