Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-01425 | 12/17/2019 | Claimant(s): Anna Shursen, IRA, James Higbee Claimant Lawyers(s): Richard A. Lewins Respondent(s): Bobby James, SCF Securities. Respondent Lawyers(s): Gary S. Kessler, Jacob Brian Kring Arbitrator(s): Louis J. Weber, Robert J. Gregory, Larry Adair Hearing Site: Dallas, TX |  | Dismissed by Rule 12206/12504 |
| 19-00951 | 12/16/2019 | Claimant(s): Roger Engemoen Claimant Lawyers(s): Erin M. Brewer Respondent(s): Samco Capital Markets. Respondent Lawyers(s): Joel B. Bailey Arbitrator(s): Eric Ross Cromartie Hearing Site: Dallas, TX | ||
| 17-02126 | 12/04/2019 | Claimant(s): Jonathan Lennox Claimant Lawyers(s): Wilmer D. Masterson Respondent(s): USAA Financial Advisors. Respondent Lawyers(s): Michael R. Greco Arbitrator(s): Robert L. Yeager, Larry Adair, Donna Jean Tyus Hearing Site: Dallas, TX | ||
| 19-00320 | 11/15/2019 | Claimant(s): Robert Huntley Claimant Lawyers(s): Matthew Wolper Respondent(s): LPL Financial LLC Respondent Lawyers(s): Brian P. Harlan Arbitrator(s): C. Sumpter Logan Hearing Site: Dallas, TX | ||
| 19-01613 | 11/14/2019 | Claimant(s): Jerry Etter Claimant Lawyers(s): Scott Etter Respondent(s): Todd Hasie Respondent Lawyers(s): Eric Chen Arbitrator(s): Joseph Neal Richardson Hearing Site: Dallas, TX | | $88 |
| 18-01938 | 11/07/2019 | Claimant(s): Samco Capital Markets. Claimant Lawyers(s): Jason M. Hopkins Respondent(s): Apex Clearing Corporation Respondent Lawyers(s): Jonathan D. Neerman Arbitrator(s): Harry J Saginaw, Richard Frederick Schaufert, Oddur Sigurdsson Hearing Site: Dallas, TX | ||
| 19-00294 | 10/08/2019 | Claimant(s): Charles Smith Claimant Lawyers(s): Michael O'Gara Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Andrea U. Calve Hearing Site: Dallas, TX | ||
| 18-04120 | 09/30/2019 | Claimant(s): Jeff Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Neal S. Robb Arbitrator(s): David A. Schuler Hearing Site: Dallas, TX | ||
| 18-04389 | 09/16/2019 | Claimant(s): Jeff Davis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy L. Moore Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Dallas, TX | ||
| 19-00318 | 09/03/2019 | Claimant(s): Wesley Cumbie Claimant Lawyers(s): Matthew Wolper Respondent(s): MML Investors Services Respondent Lawyers(s): William P. Thornton Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Dallas, TX |