Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 17-00117 | 08/18/2017 | Claimant(s): Dean Williamson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Dickinson & Co. Respondent Lawyers(s): Nancy Van Hauen Arbitrator(s): Stephen P. Hoffman Hearing Site: Charlotte, NC | ||
| 16-00695 | 08/16/2017 | Claimant(s): Brenda Phetteplace, Thomas Trout Claimant Lawyers(s): D. Daxton White Respondent(s): Morgan Stanley Respondent Lawyers(s): Kimberly J. Gustafson Arbitrator(s): Paul Davis Pearlstein, Daniel Lee Tedrick, Dwane Edward Vickstrom Hearing Site: Charlotte, NC |  | Expungement |
| 17-00542 | 08/02/2017 | Claimant(s): Securities America. Claimant Lawyers(s): Christina Heller Respondent(s): Jollene Austin Respondent Lawyers(s): Jollene Jill Austin Arbitrator(s): Christopher M. McMurray Hearing Site: Charlotte, NC | ||
| 17-00212 | 06/28/2017 | Claimant(s): Javed Maniya Claimant Lawyers(s): Javed Maniya Respondent(s): OptionsHouse Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Leonard E. Benade Hearing Site: Charlotte, NC | | $0 |
| 15-00010 | 05/03/2017 | Claimant(s): Steven Griff Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Robert T. Allen, John A. Baynes, Brock B. Gordon Hearing Site: Charlotte, NC | | $0 |
| 16-02916 | 04/24/2017 | Claimant(s): Gary Harris Claimant Lawyers(s): Gary G. Harris Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Theodore R. Bynum Arbitrator(s): Jane A. Smith, Neil Harvey Smith, William Scarr Shefte Hearing Site: Charlotte, NC | | Dismissed by Rule 12206 |
| 15-01223 | 03/29/2017 | Claimant(s): Richard White Claimant Lawyers(s): Joseph M. Pastore Respondent(s): Wells Fargo Securities Respondent Lawyers(s): Kevin J. Dalton Arbitrator(s): Robert H. Putnam, David M. Levine, William Finley Hamel Hearing Site: Charlotte, NC | ||
| 16-02547 | 03/07/2017 | Claimant(s): Dean Williamson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Brandy Pikus Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC | ||
| 16-00080 | 03/02/2017 | Claimant(s): Malcom Blankenship Claimant Lawyers(s): Malcom B. Blankenship Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer R. Willey Arbitrator(s): Robert H. Putnam Hearing Site: Charlotte, NC | | Expungement |
| 16-02249 | 02/23/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jessica G. Klein Respondent(s): Nancy Griffith Respondent Lawyers(s): Nancy Putnam Griffith Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC |