Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02341 | 07/11/2024 | Claimant(s): Steven Mogul Claimant Lawyers(s): Craig Riha Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | ||
| 22-01455 | 04/30/2024 | Claimant(s): Raymond Paller Claimant Lawyers(s): Bruce Lewitas Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Valerie Holder Arbitrator(s): Mark L Miller, Susan M. Coleman, Lisa M. Krimen Hearing Site: Chicago, IL |  | $0 |
| 22-02025 | 09/28/2023 | Claimant(s): Sandra Diggs Claimant Lawyers(s): Joseph S. Simms Respondent(s): State Farm VP Management Corp. Respondent Lawyers(s): Brooke D. Clarkson Arbitrator(s): Mark L Miller, Emily J. Lewis, Matthew Harold Fields Hearing Site: Columbus, OH | ||
| 23-00447 | 09/01/2023 | Claimant(s): Margaret Burnes Claimant Lawyers(s): Margaret Burnes Respondent(s): Gerald Markwith, Charles Schwab & Co.. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | | Expungement |
| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | ||
| 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 |
| 22-01660 | 04/24/2023 | Claimant(s): Matthew Engen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Mark L Miller Hearing Site: Bismarck, ND | ||
| 21-01766 | 04/10/2023 | Claimant(s): Joseph Kutches Claimant Lawyers(s): Jonathan Kurta Respondent(s): World Equity Group. Respondent Lawyers(s): Benjamin J. Biard Arbitrator(s): Mark L Miller, Edward John Zulkey, Gerald G Saltarelli Hearing Site: Chicago, IL | | $0 |
| 21-01860 | 05/23/2022 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Marcin Dusza Respondent Lawyers(s): Marcin Dusza Arbitrator(s): Mark L Miller Hearing Site: Chicago, IL | | $78,088 |
| 21-01012 | 11/16/2021 | Claimant(s): Ronald Carson Claimant Lawyers(s): Stephan Louviere Respondent(s): Cetera Advisor Networks Respondent Lawyers(s): David Feldstein Arbitrator(s): Mark L Miller Hearing Site: Omaha, NE |