Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01470 | 05/09/2024 | Claimant(s): Roshan Loungani Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Arete Wealth Management Respondent Lawyers(s): Bob Chung Arbitrator(s): Patricia H. Latham Hearing Site: Washington, DC | ||
| 23-00076 | 05/08/2024 | Claimant(s): Robert Fratkin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail Elrod Arbitrator(s): Tina E. Patterson Hearing Site: Washington, DC | ||
| 23-01919 | 04/09/2024 | Claimant(s): Cyrus Desai Claimant Lawyers(s): Meher C. Desai Respondent(s): William Young, Grove Point Investments Respondent Lawyers(s): Garry T. Stevens, Jr., Richard A. D'Amura Arbitrator(s): Christopher M. McMurray, Luba Shur, Kiran Nasir Gore Hearing Site: Washington, DC |  | Dismissed by Rule 12206 |
| 23-01880 | 03/15/2024 | Claimant(s): Janice DeMocker Claimant Lawyers(s): James Brian DeMocker Respondent(s): Morgan Stanley, Teri Kelley Respondent Lawyers(s): Christine Kendrick Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC | | Expungement |
| 23-03044 | 03/12/2024 | Claimant(s): Daniel Egbert, Toria Scotto Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charlotte S. Wolfe Arbitrator(s): Patricia H. Latham Hearing Site: Washington, DC | ||
| 23-03161 | 03/08/2024 | Claimant(s): Akin Adeniji-Bello Claimant Lawyers(s): Akin Adeniji-Bello Respondent(s): CBOE Trading. Respondent Lawyers(s): Jennifer L. Golding Arbitrator(s): Christopher M. McMurray Hearing Site: Washington, DC | | $0 |
| 23-02615 | 03/01/2024 | Claimant(s): John Jakiun Claimant Lawyers(s): John E Jakiun Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Samantha B. Kats Arbitrator(s): Laura A. Kaster Hearing Site: Washington, DC | | $325 |
| 23-02250 | 02/12/2024 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing Claimant Lawyers(s): Todd Ratner Respondent(s): Gerald Fils Respondent Lawyers(s): Gerald Louis Fils Arbitrator(s): David Paul Clark Hearing Site: Washington, DC | ||
| 23-00052 | 12/04/2023 | Claimant(s): Wallace Suku Claimant Lawyers(s): Wallace W. Suku Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Noah D. Sorkin Arbitrator(s): Richard E. Lauziere, Peter H. Goldberg, Ronald Kalungi Hearing Site: Washington, DC | | $0 |
| 23-00811 | 11/21/2023 | Claimant(s): Bernard Mahon Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Nancy E. Watters Hearing Site: Washington, DC |