Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 14-03857 | 01/13/2020 | Claimant(s): Charlotte B. Milliner SEP IRA, Charlotte B Milliner Trust dtd 1/30/1997 Claimant Lawyers(s): David Sturgeon-Garcia Respondent(s): Mary Evans, Thomas Bock Respondent Lawyers(s): Frances Menzer Arbitrator(s): Herbert Liberman, Donald H. Korn, Shawn Ridgell Hearing Site: San Francisco, CA |  | $773,527 |
| 19-01370 | 12/23/2019 | Claimant(s): David Li Claimant Lawyers(s): Frances Menzer Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Mary Margaret Bush Hearing Site: San Francisco, CA | ||
| 19-00487 | 11/20/2019 | Claimant(s): William Kapteyn Claimant Lawyers(s): Frances Menzer Respondent(s): Royal Securities Company Respondent Lawyers(s): Tony Ernzer Arbitrator(s): Terrance J. Dorcy Hearing Site: Detroit, MI | ||
| 19-00411 | 11/14/2019 | Claimant(s): Robert Rose Claimant Lawyers(s): Frances Menzer Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 18-04284 | 10/23/2019 | Claimant(s): Phillip Irvin Claimant Lawyers(s): Frances Menzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Kevin R. Zehe Hearing Site: Cleveland, OH | ||
| 19-00412 | 10/23/2019 | Claimant(s): Robert Rose Claimant Lawyers(s): Frances Menzer Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Nicholas N. George Arbitrator(s): Michael E. Rohde Hearing Site: San Diego, CA | ||
| 18-04322 | 10/21/2019 | Claimant(s): Sandeep Varma, Steven Musser Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 18-04376 | 10/11/2019 | Claimant(s): Mark Richmond Claimant Lawyers(s): Frances Menzer Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Michael Lancaster Garcia Hearing Site: San Francisco, CA | ||
| 19-00413 | 10/04/2019 | Claimant(s): Robert Rose Claimant Lawyers(s): Frances Menzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Herbert Liberman Hearing Site: San Diego, CA | ||
| 19-00286 | 09/18/2019 | Claimant(s): Robert Schwarz Claimant Lawyers(s): Frances Menzer Respondent(s): Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): Charles G. Michaels Hearing Site: Denver, CO |