Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00972 | 10/21/2020 | Claimant(s): Lawrence Finch Claimant Lawyers(s): Frances Menzer Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 19-03275 | 10/06/2020 | Claimant(s): Eszylfie Taylor Claimant Lawyers(s): Frances Menzer Respondent(s): NYLife Securities LLC, Eagle Strategies LLC Respondent Lawyers(s): Shawn P. Thomas Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA | ||
| 20-00362 | 09/17/2020 | Claimant(s): Scott Arrasmith Claimant Lawyers(s): Frances Menzer Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00797 | 09/17/2020 | Claimant(s): Sam Bhushan Claimant Lawyers(s): Frances Menzer Respondent(s): Cabin Securities. Respondent Lawyers(s): WM. Brian Candler Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 20-00434 | 09/11/2020 | Claimant(s): Ryan Haslam Claimant Lawyers(s): Frances Menzer Respondent(s): New England Securities Respondent Lawyers(s): Corporate Officer Arbitrator(s): Morris S. Getzels Hearing Site: Los Angeles, CA | ||
| 20-00798 | 09/10/2020 | Claimant(s): SAM BHUSHAN Claimant Lawyers(s): Frances Menzer Respondent(s): Burch & Company Respondent Lawyers(s): Anthony J. Durone Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | ||
| 20-00127 | 08/27/2020 | Claimant(s): Melissa Kumalaputra Claimant Lawyers(s): Frances Menzer Respondent(s): U.S. Bancorp Investments. Respondent Lawyers(s): Steven M. Phillips Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 20-00121 | 08/26/2020 | Claimant(s): Casey Sletten Claimant Lawyers(s): Frances Menzer Respondent(s): Principal Funds Distributor. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | ||
| 19-01592 | 07/29/2020 | Claimant(s): Brian Btesh Claimant Lawyers(s): Frances Menzer Respondent(s): Northwestern Mutual Investment Services, Respondent Lawyers(s): Thomas K. Anderson Arbitrator(s): James M. Scutti Hearing Site: Boca Raton, FL | ||
| 19-03310 | 06/19/2020 | Claimant(s): Steven Southworth Claimant Lawyers(s): Frances Menzer Respondent(s): Cowen and Company Respondent Lawyers(s): Steven Cohen Arbitrator(s): Annamaria Boccia Smith Hearing Site: New York, NY |