Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 14-02870 | 10/29/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold Claimant Lawyers(s): Jonathan Berg Respondent(s): Brian Benner Respondent Lawyers(s): Patrick R. Mahoney Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA | ||
| 14-01387 | 09/21/2015 | Claimant(s): Tracy Chen Claimant Lawyers(s): Laura Sullivan Respondent(s): Morgan Stanley Respondent Lawyers(s): Trish M. Higgins Arbitrator(s): James D. Knotter, June McLaughlin, Steven H. Gentry Hearing Site: Los Angeles, CA | ||
| 13-03299 | 07/22/2015 | Claimant(s): Carol Saunders Claimant Lawyers(s): Paul W. Thomas Respondent(s): Daniel Haskard, Morgan Stanley, Susan Dandridge Respondent Lawyers(s): Debra (Volland) Achkire Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA |  | Expungement |
| 14-02527 | 03/25/2015 | Claimant(s): Richard Simpson Claimant Lawyers(s): Sylvia M. Scott Respondent(s): Helen James, Helen James Living Trust Respondent Lawyers(s): Helen James Arbitrator(s): James D. Knotter, John Goodrich, Steven F. Bernstein Hearing Site: San Diego, CA | Expungement | |
| 14-01417 | 12/24/2014 | Claimant(s): Donald E. Hoke and Jean N. Hoke Family T Claimant Lawyers(s): Clinton W. Marrs Respondent(s): NYLife Securities LLC Respondent Lawyers(s): R. E. Thompson Arbitrator(s): Donald W. Diones, James D. Knotter, Charles E. Riggs Hearing Site: Albuquerque, NM | | Dismissed by Rule 12206 |
| 12-04162 | 04/03/2014 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Rena Andoh Respondent(s): Respondent Lawyers(s): Arbitrator(s): James D. Knotter, James Sean Healey, Robert H. Ottesen Hearing Site: Albuquerque, NM | ||
| 10-04984 | 02/21/2014 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Angelina E. Chew Respondent(s): Russell Williams Respondent Lawyers(s): Geniene B. Stillwell Arbitrator(s): James D. Knotter Hearing Site: Los Angeles, CA | ||
| 12-02781 | 07/11/2013 | Claimant(s): Enrique Montano Claimant Lawyers(s): Enrique Montano Respondent(s): Cuso Financial Services, L.P. Respondent Lawyers(s): Maria J. Seedner Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA | | $0 |
| 11-02921 | 04/01/2013 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Jonathan Berg Respondent(s): Nicole Eppley Respondent Lawyers(s): Nicole S. Eppley Arbitrator(s): James D. Knotter Hearing Site: San Diego, CA | ||
| 11-03966 | 10/04/2012 | Claimant(s): Tom York Claimant Lawyers(s): Paul W. Thomas Respondent(s): Morgan Stanley Respondent Lawyers(s): Wendy R. Robinson Arbitrator(s): Fred T. Kallet, James D. Knotter, Vytas Tarulis Hearing Site: San Diego, CA | | Stipulated Award and Expungement |