Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-01678 | 11/19/2021 | Claimant(s): John Smith Claimant Lawyers(s): John E. Smith Respondent(s): Robinhood Financial. Respondent Lawyers(s): Richard J. Davis Arbitrator(s): Michael J. Meeusen Hearing Site: Louisville, KY |  | $0 |
| 21-00620 | 11/03/2021 | Claimant(s): Kristen Graham Claimant Lawyers(s): Norman W. Graham Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Kevin H. Lewis Arbitrator(s): Barry Goldman Hearing Site: Louisville, KY | | $0 |
| 20-04121 | 10/20/2021 | Claimant(s): Shelby Fink Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard W. Dissen Hearing Site: Louisville, KY | ||
| 20-03078 | 10/13/2021 | Claimant(s): James Alexander Claimant Lawyers(s): Steven M. McCauley Respondent(s): Joseph Depasquale, American Capital Partners Respondent Lawyers(s): Michael H. Ference Arbitrator(s): Bill Swinford, Frederick Ramos, Janet Marie Graham Hearing Site: Louisville, KY | | Expungement |
| 20-02815 | 07/20/2021 | Claimant(s): James Waninger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): George G. Kurschner Hearing Site: Louisville, KY | ||
| 20-02704 | 04/23/2021 | Claimant(s): Christopher Risher Claimant Lawyers(s): Dochtor Kennedy Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): John F. Burns Hearing Site: Louisville, KY | ||
| 20-03035 | 03/11/2021 | Claimant(s): Andrew Arnold Claimant Lawyers(s): Brian Luther Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): James A. McIntosh Hearing Site: Louisville, KY | ||
| 20-01541 | 02/24/2021 | Claimant(s): Francis Hayden Claimant Lawyers(s): Gregory L. Smith Respondent(s): GWFS Equities. Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): Jim Geiger Hearing Site: Louisville, KY | | $300 |
| 20-02422 | 12/31/2020 | Claimant(s): William Borders Claimant Lawyers(s): Joel M. Everest Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Robert M. Rudnicki Arbitrator(s): Mark A. Sipper Hearing Site: Louisville, KY | ||
| 19-01437 | 11/17/2020 | Claimant(s): Vanessa Taylor Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PNC Investments Respondent Lawyers(s): Danielle M. Kays Arbitrator(s): Jeffrey M. Bain Hearing Site: Louisville, KY |