Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 24-01402 | 11/19/2024 | Claimant(s): Dale L. Deahn IRA Claimant Lawyers(s): Dale L. Deahn Respondent(s): Kenneth Ulrich Respondent Lawyers(s): Seth Bursky Arbitrator(s): Peter A.P. Dunlop Hearing Site: Buffalo, NY |  | $300 |
| 23-01988 | 10/01/2024 | Claimant(s): Travis Alexander, Crux Wealth Advisors Claimant Lawyers(s): Mark S. Fusco Respondent(s): Beau Riggs, Steven Blanchard Respondent Lawyers(s): Mark S. Fusco, Steven Blanchard Arbitrator(s): Christopher C. Willett, Michael A. Orticelle, Paul K. Stecker Hearing Site: Buffalo, NY | ||
| 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 |