Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 13-00989 | 08/22/2013 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James L. Komie Respondent(s): Patrick Colligan Respondent Lawyers(s): Patrick Colligan Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY | ||
| 12-03595 | 04/09/2013 | Claimant(s): Catherine Haas Claimant Lawyers(s): Catherine Haas Respondent(s): Ameriprise Financial Services., John Hughes Respondent Lawyers(s): Susan E. Sheely Arbitrator(s): Alun Hywel Jones Hearing Site: Augusta, ME |  | $19,879 |
| 11-03986 | 09/06/2012 | Claimant(s): William B. Brown Claimant Lawyers(s): William B. Brown Respondent(s): UBS Financial Services Inc., Michele Aldo Respondent Lawyers(s): Angela A. Turiano Arbitrator(s): Alun Hywel Jones, James W. Kambas, Martin J. DeGennaro Hearing Site: Hartford, CT | | $0 |
| 10-04746 | 08/20/2012 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Alan S. Brodherson Respondent(s): Conway Donaldson Respondent Lawyers(s): Conway Kirk Donaldson Arbitrator(s): Joseph B. Russell, Joseph A. Forgione, Alun Hywel Jones Hearing Site: New York, NY | ||
| 11-04518 | 06/13/2012 | Claimant(s): Robert Willoughby Claimant Lawyers(s): Robert Willougby Respondent(s): Josephthal & Co.. Respondent Lawyers(s): John T. McGuire Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY | ||
| 10-05675 | 06/17/2011 | Claimant(s): Bette Gell, Russell Gell, Russell and Bete Gell Claimant Lawyers(s): Rose M. Schindler Respondent(s): David Witter Respondent Lawyers(s): Eric A. Lanigan Arbitrator(s): Alun Hywel Jones Hearing Site: Orlando, FL | | $5,805 |
| 09-05967 | 08/24/2010 | Claimant(s): Henry Hanau, HFN Planning. Claimant Lawyers(s): Henry Fred Hanau Respondent(s): TD Ameritrade. Respondent Lawyers(s): Hollie Mason Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY | | $0 |
| 09-04539 | 07/16/2010 | Claimant(s): Martha Brancato and Vincent Brancato Claimant Lawyers(s): Martha Brancato Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith A. Felde Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY | | $0 |
| 08-02430 | 11/25/2009 | Claimant(s): Richard Jordan Claimant Lawyers(s): Mark E. Maddox Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Michael R. Robinson Arbitrator(s): Arthur W. Pigott, James Francis Donovan, Alun Hywel Jones Hearing Site: Birmingham, AL | | $0 |
| 08-03288 | 06/01/2009 | Claimant(s): Edward Levy Claimant Lawyers(s): Curtis E. Pew Respondent(s): Trident Partners Ltd. Respondent Lawyers(s): William Quigley Arbitrator(s): Alun Hywel Jones Hearing Site: New York, NY |