Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 14-00502 | 12/29/2014 | Claimant(s): James Walker Claimant Lawyers(s): James F. Walker Respondent(s): Wells Fargo Advisors, Richard Barcia Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY |  | Expungement |
| 14-01053 | 12/19/2014 | Claimant(s): Gerald Macaree Claimant Lawyers(s): Michael Lauterborn Respondent(s): Franklin Ogele, Patrick White, Blackbook Capital LLC Respondent Lawyers(s): Michael Utilla Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | | Expungement |
| 12-00341 | 04/03/2013 | Claimant(s): Daniel Dvorznak, James Dolan, Nicholas Tsikitas Claimant Lawyers(s): Ian J. Frimet Respondent(s): Anthony Salamone Respondent Lawyers(s): Anthony Patrick Salamone Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | ||
| 12-00430 | 09/05/2012 | Claimant(s): Geary Stevenson Claimant Lawyers(s): Geary Stevenson Respondent(s): Nationwide Investment Services Corp Respondent Lawyers(s): Natalie T. Furniss Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | | $0 |
| 11-01177 | 12/29/2011 | Claimant(s): White Pacific Securities. Claimant Lawyers(s): Christopher Mader Respondent(s): Wing Lim Respondent Lawyers(s): Wing Kin Lim Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | ||
| 10-01767 | 04/20/2011 | Claimant(s): Mouna Hashem Claimant Lawyers(s): Cynthia Rollings Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Scott A. Miniter Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | | $0 |
| 09-04597 | 02/24/2010 | Claimant(s): Paulson Investment Company Claimant Lawyers(s): Jonathan A. Kurta Respondent(s): Chris Wiseman Respondent Lawyers(s): Chris Michael Wiseman Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | ||
| 08-03632 | 03/23/2009 | Claimant(s): Xian Jun Yang Claimant Lawyers(s): Xian Jun Yang Respondent(s): Westrock Advisors. Respondent Lawyers(s): Christopher R. Travis Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | | $1,772 |
| 08-01306 | 11/13/2008 | Claimant(s): Lap Chang Claimant Lawyers(s): Lap F Chang Respondent(s): HSBS Securities (USA) Inc. Respondent Lawyers(s): Tracy S. Woodrow Arbitrator(s): Denzil J. Klippel Hearing Site: New York, NY | | $0 |
| 07-02165 | 09/23/2008 | Claimant(s): Amy Levenson Claimant Lawyers(s): Anne C. Vladeck Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): Denzil J. Klippel, Richard E. Lerner, Joshua Mark Zucker Hearing Site: New York, NY |