Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00602 | 04/07/2023 | Claimant(s): Susan Cowan Claimant Lawyers(s): Daniel R. Gutenplan Respondent(s): Dennis Ayre Respondent Lawyers(s): Dennis Phillip Ayre Arbitrator(s): Thomas E Shuck Hearing Site: Los Angeles, CA |  | $322,648 |
| 21-02755 | 03/30/2022 | Claimant(s): Hope DeBorse Claimant Lawyers(s): Hope DeBorse Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shea O. Hicks Arbitrator(s): Thomas E Shuck Hearing Site: Los Angeles, CA | | $0 |
| 21-02458 | 02/02/2022 | Claimant(s): Patricia Mary Taylor Trust Claimant Lawyers(s): Gary Mark Brewer Respondent(s): Christopher Taylor, Kestra Investment Services Respondent Lawyers(s): Craig Zafis, Richard A. D'Amura Arbitrator(s): Thomas E Shuck, Randy R. Maher, Mitchell Lee Lathrop Hearing Site: San Diego, CA | | Dismissed by Rule 12206 |
| 21-02218 | 12/15/2021 | Claimant(s): Robin Taliaferro Claimant Lawyers(s): Stephen Young Respondent(s): Sutter Securities Incorporated, Sutter Capital Partners Respondent Lawyers(s): R. Craig Zafis Arbitrator(s): Thomas E Shuck Hearing Site: Los Angeles, CA | ||
| 21-00430 | 12/14/2021 | Claimant(s): Eric Silvestre Claimant Lawyers(s): Harris Freedman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Katherine L. Handy Arbitrator(s): Thomas E Shuck Hearing Site: Los Angeles, CA | ||
| 20-03492 | 04/16/2021 | Claimant(s): Luke Chimes Claimant Lawyers(s): Taylor E. Darcy Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith Hoffman Arbitrator(s): Thomas E Shuck Hearing Site: San Diego, CA | | $375 |
| 20-03136 | 04/08/2021 | Claimant(s): Mitchell Horst Claimant Lawyers(s): Brian Luther Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeff Palmer Arbitrator(s): Thomas E Shuck Hearing Site: Las Vegas, NV | ||
| 20-02207 | 01/26/2021 | Claimant(s): Phillips Huffman Claimant Lawyers(s): Ryan S. Lean Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Thomas E Shuck Hearing Site: Los Angeles, CA | ||
| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall Claimant Lawyers(s): James P. Galvin Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Thomas E Shuck Hearing Site: Phoenix, AZ | ||
| 18-00400 | 08/12/2019 | Claimant(s): Benjamin Kwon, Castle Eurasia Corp, El Centro Acres Claimant Lawyers(s): Benjamin Kwon Respondent(s): Milan Konkol, MUFG Union Bank, N.A., Unionbanc Investment Services Respondent Lawyers(s): Ryan S. Lean Arbitrator(s): Thomas E. Shuck, Jack R. Goetz, Lisa Miller Hearing Site: Los Angeles, CA | | Dismissed by Rule 12212(c) |