Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-01524 | 02/04/2022 | Claimant(s): Dennis Coughlin Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Equitable Advisors Respondent Lawyers(s): Michael J. Biondi Arbitrator(s): Diane Ciccone Hearing Site: Syracuse, NY | ||
| 20-01958 | 09/15/2021 | Claimant(s): Ernest Guenin, Monique Guenin Claimant Lawyers(s): Peter M. Good Respondent(s): Joseph Trifiletti, Stephen Distante, Stephen Trask, Steven Howe, Thomas Murphy, Vanderbilt Securities Respondent Lawyers(s): Charles M. O'Rourke Arbitrator(s): Diane Ciccone, Gregory J. Spadea, Peter George Erdely Hearing Site: Philadelphia, PA |  | $200,000 |
| 19-02669 | 08/19/2021 | Claimant(s): Edward Taylor Claimant Lawyers(s): Jay W. Waldman Respondent(s): Santander Securities LLC Respondent Lawyers(s): N. Nancy Ghabai Arbitrator(s): Diane Ciccone, John T. Hausladen, Joseph J. Dougherty Hearing Site: Philadelphia, PA | ||
| 18-01448 | 08/11/2021 | Claimant(s): Patrick Mullen Claimant Lawyers(s): Kevin D. Galbraith Respondent(s): Key Investment Services LLC Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Elliot B. Platt, Diane Ciccone, Christopher Robert Madel Hearing Site: Philadelphia, PA | ||
| 21-00465 | 06/21/2021 | Claimant(s): Rupesh Parajuli Claimant Lawyers(s): Rupesh Parajuli Respondent(s): TD Ameritrade. Respondent Lawyers(s): Brandon K. Hemley Arbitrator(s): Diane Ciccone Hearing Site: Hartford, CT | | $600 |
| 20-02733 | 05/13/2021 | Claimant(s): Thomas Reich Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Kestra Investment Services Respondent Lawyers(s): Richard A. D'Amura Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA | ||
| 20-00929 | 12/10/2020 | Claimant(s): Richard Towey Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Adam M. Weaver Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA | ||
| 20-01243 | 12/10/2020 | Claimant(s): Scott Kleiman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kelsy L. Vasko Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA | ||
| 20-02296 | 12/10/2020 | Claimant(s): Dmytro Garazha Claimant Lawyers(s): Dennis Moskal Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Diane Ciccone Hearing Site: Wilmington, DE | | $300 |
| 19-03428 | 06/30/2020 | Claimant(s): Howard Lashner Claimant Lawyers(s): Colin Thomas Dean Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Adam M. Weaver Arbitrator(s): Diane Ciccone Hearing Site: Philadelphia, PA |