Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-00845 | 01/11/2019 | Claimant(s): Heather Evans Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Joseph J. Dougherty Hearing Site: Richmond, VA | ||
| 17-02103 | 01/02/2019 | Claimant(s): Eric Gasper, Stacy Gasper Claimant Lawyers(s): Nicholas J Guiliano Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA |  | Expungement |
| 17-01209 | 12/05/2018 | Claimant(s): Waylon Jackson Claimant Lawyers(s): Andrew G. Mauck Respondent(s): Louis Frates Respondent Lawyers(s): J. Bryan Plumlee Arbitrator(s): Michael J. Henke, Joseph J. Dougherty, Tony J Lawrence Hearing Site: Richmond, VA | ||
| 18-01854 | 11/14/2018 | Claimant(s): Richard Wesselt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The O.N. Equity Sales Company Respondent Lawyers(s): Mark E. Elsener Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA | ||
| 16-00378 | 10/09/2018 | Claimant(s): Jerry Duke Claimant Lawyers(s): Jennifer Tarr Respondent(s): Ralph Principe, America's Choice Equities LLC Respondent Lawyers(s): Michael Gilmore Arbitrator(s): Richard E. Lauziere, Jim Geiger, Joseph J. Dougherty Hearing Site: Wilmington, DE | | $0 |
| 16-02808 | 09/26/2018 | Claimant(s): Joseph Myers Claimant Lawyers(s): Hilton Wiener Respondent(s): Obsidian Financial Group Respondent Lawyers(s): Kevin Sharma Arbitrator(s): Joseph J. Dougherty Hearing Site: Wilmington, DE | | $50,150 |
| 17-01493 | 05/31/2018 | Claimant(s): Stephen Owen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre C. Wolff Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD | ||
| 17-00936 | 11/30/2017 | Claimant(s): John Tompkins Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Joseph A. Sack Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD | ||
| 17-01260 | 10/31/2017 | Claimant(s): Charles Fuller Claimant Lawyers(s): Charles Daniel Fuller Respondent(s): T. Rowe Price Investment Services. Respondent Lawyers(s): Daniel J. Donovan Arbitrator(s): Joseph J. Dougherty Hearing Site: Baltimore, MD | ||
| 15-03106 | 07/19/2016 | Claimant(s): Brendan Keohan Claimant Lawyers(s): Brendan Keohan Respondent(s): Fidelity Investments Institutional Srvcs Respondent Lawyers(s): Lauren E. Ingoldsby Arbitrator(s): Joseph J. Dougherty Hearing Site: Boston, MA | | $0 |