Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02807 | 05/20/2024 | Claimant(s): Nicholas Efthemis Claimant Lawyers(s): Peter Lindholm Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Dissen Hearing Site: Buffalo, NY | ||
| 23-02991 | 05/03/2024 | Claimant(s): David Burgio Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Prime Capital Services. Respondent Lawyers(s): Emily A. Hayes Arbitrator(s): Kevin R. Zehe Hearing Site: Buffalo, NY | ||
| 23-01329 | 02/26/2024 | Claimant(s): Gregory Malin Claimant Lawyers(s): Harris Freedman Respondent(s): M&T Securities. Respondent Lawyers(s): Miriam Dowd Arbitrator(s): Mark A. Sipper Hearing Site: Buffalo, NY | ||
| 22-02893 | 01/17/2024 | Claimant(s): Daniel Walter Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Lawton R. Graves Arbitrator(s): Richard W. Dissen Hearing Site: Buffalo, NY |  | Expungement |
| 23-01403 | 01/08/2024 | Claimant(s): Brian Griffin Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Michael Rowe Arbitrator(s): Jeffrey M. Bain Hearing Site: Buffalo, NY | ||
| 23-01486 | 12/01/2023 | Claimant(s): Michael Peters Claimant Lawyers(s): William Bean Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Charles A. Palmer Hearing Site: Buffalo, NY | ||
| 22-02687 | 10/13/2023 | Claimant(s): David Burgio Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): OSAIC Wealth, Prime Capital Services. Respondent Lawyers(s): Emily A. Hayes, Greg M. Curley Arbitrator(s): Mark A. Sipper Hearing Site: Buffalo, NY | ||
| 20-02339 | 01/17/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC Claimant Lawyers(s): Samuel P. Mauch Respondent(s): Damian Baird Respondent Lawyers(s): Damian Mark Baird Arbitrator(s): Alan Kenneth Scheff, Mark A. Sipper, Joseph Maron Hanna Hearing Site: Buffalo, NY | ||
| 21-03044 | 05/05/2022 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp. Claimant Lawyers(s): Patrick J. Bradley Respondent(s): James Orzech Respondent Lawyers(s): James Orzech Arbitrator(s): L. Paul Kehoe Hearing Site: Buffalo, NY | ||
| 19-01541 | 12/17/2021 | Claimant(s): Michael Fetzner Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Rudiger, Kelli Mezzatesta, Reid & Rudiger LLC Respondent Lawyers(s): Joel S. Forman Arbitrator(s): James S. Parker, Jeffrey M. Bain, Clifford C. Rohde Hearing Site: Buffalo, NY | | $131,855 |