Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00031 | 10/02/2020 | Claimant(s): Christopher Walker Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Wells Fargo Clearing Services, UBS Financial Services Inc. Respondent Lawyers(s): Nuviah Shirazi, Omar Perez Arbitrator(s): Philip J. Glick Hearing Site: Kansas City, MO | ||
| 20-00795 | 07/07/2020 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Joseph Likens Respondent Lawyers(s): Joseph Alan Likens Arbitrator(s): Philip J. Glick Hearing Site: St. Louis, MO | ||
| 19-03053 | 05/07/2020 | Claimant(s): Jeffrey Gore Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 20-00115 | 04/30/2020 | Claimant(s): World Equity Group. Claimant Lawyers(s): Matthew C. Boba Respondent(s): Victoria Midstream LLC Respondent Lawyers(s): Corporate Office Arbitrator(s): Philip J. Glick Hearing Site: Chicago, IL | ||
| 20-00125 | 04/23/2020 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Carolyn LaMar Respondent(s): James McEnerney Respondent Lawyers(s): James L. McEnerney Arbitrator(s): Philip J. Glick Hearing Site: Kansas City, MO | ||
| 17-02936 | 03/05/2020 | Claimant(s): Cynthia Burch Claimant Lawyers(s): Richard B. Fosher Respondent(s): Huntleigh Securities Corporation Respondent Lawyers(s): Patrick Watts Arbitrator(s): Philip J. Glick, William M. Azkoul, Sheldon Weinhaus Hearing Site: St. Louis, MO |  | $750,000 |
| 19-02096 | 02/14/2020 | Claimant(s): Michael Palmer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Invest Financial Corporation Respondent Lawyers(s): Scott R. Forbush Arbitrator(s): Philip J. Glick Hearing Site: Cleveland, OH | ||
| 19-00619 | 01/21/2020 | Claimant(s): Ronald Carson Claimant Lawyers(s): Matt Wolper Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Philip J. Glick Hearing Site: Omaha, NE | ||
| 17-02420 | 01/07/2020 | Claimant(s): Sandra Alford, Sandra C. Alford Revocable Living Trust Claimant Lawyers(s): Richard B. Fosher Respondent(s): National Planning Corporation Respondent Lawyers(s): Jason A. Kempf Arbitrator(s): Philip J. Glick, Albert J. Haller, Joshua Eric Lubatkin Hearing Site: St. Louis, MO | | $2,629,270 |
| 19-01500 | 12/30/2019 | Claimant(s): David Henry Claimant Lawyers(s): Stephan Louviere Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Tim Meehan Arbitrator(s): Philip J. Glick Hearing Site: Chicago, IL |