Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02560 | 04/13/2021 | Claimant(s): E. Marsh Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Jeffrey Axelrad Hearing Site: Washington, DC | ||
| 20-03641 | 04/13/2021 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Erin MacAvoy Respondent(s): Omer Ali-Taha Respondent Lawyers(s): Omer Mohamed Ali-Taha Arbitrator(s): Geoffrey A. Drucker Hearing Site: Washington, DC | ||
| 20-03049 | 03/29/2021 | Claimant(s): John Cortale Claimant Lawyers(s): Matthew R. Kaufmann Respondent(s): JHS Capital Advisors Respondent Lawyers(s): John Kelliher Arbitrator(s): Richard P. Regan Hearing Site: Washington, DC | ||
| 20-02460 | 03/25/2021 | Claimant(s): Thomas Clark Claimant Lawyers(s): Dochtor Kennedy Respondent(s): E.F. Hutton & Company., Lehman Brothers Inc Respondent Lawyers(s): Edward Turan, Thomas E. Hommel Arbitrator(s): Kelli J. Jareaux Hearing Site: Washington, DC | ||
| 20-02869 | 03/09/2021 | Claimant(s): Daniel Uribe Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Douglas Earl McLaren Hearing Site: Washington, DC | ||
| 20-00701 | 02/10/2021 | Claimant(s): Sheila Shaffer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Legg Mason Wood Walker Respondent Lawyers(s): Rosemary Francavilla Arbitrator(s): Kelli J. Jareaux Hearing Site: Washington, DC | ||
| 20-01723 | 02/09/2021 | Claimant(s): Benedict Emesowum Claimant Lawyers(s): Benedict Emesowum Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Anthony L. Valenzuela Arbitrator(s): Jane C. Carney Hearing Site: Washington, DC |  | $0 |
| 19-02564 | 02/04/2021 | Claimant(s): Shaheen Aulakh Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Matthew Stephen Duchesne Hearing Site: Washington, DC | | $0 |
| 19-00140 | 12/22/2020 | Claimant(s): John Laughlin Roth IRA Claimant Lawyers(s): Daniel D'Costa Respondent(s): Portfolio Advisors Alliance Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): James R. Stirn Hearing Site: Washington, DC | | $15,000 |
| 20-01203 | 12/15/2020 | Claimant(s): Mark Dolfis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Annette K. Ebright Arbitrator(s): Douglas Earl McLaren Hearing Site: Washington, DC |