Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-01916 | 10/18/2023 | Claimant(s): William Crull Claimant Lawyers(s): Everett Pritchard Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Gregory Curley Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA | ||
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson Claimant Lawyers(s): Robert K. Jamieson Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes Hearing Site: Houston, TX | ||
| 22-02626 | 06/14/2023 | Claimant(s): Benton Lacy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BBVA Compass Investment Solutions. Respondent Lawyers(s): Katie M. Kimbrell Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 23-00356 | 05/23/2023 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Erin Friel Elmore Respondent(s): Ramon Perez Respondent Lawyers(s): Ramon Paul Perez Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 21-02116 | 05/03/2023 | Claimant(s): Matthew W. Nickerson, on behalf of IRA Claimant Lawyers(s): Kirk G Smith Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Lynne M. Gomez Hearing Site: Little Rock, AR |  | Expungement |
| 21-02621 | 05/03/2023 | Claimant(s): Richard Westfall Claimant Lawyers(s): Michael S. Hill Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Lynne M. Gomez Hearing Site: Oklahoma City, OK | | Expungement |
| 22-01316 | 01/13/2023 | Claimant(s): David Smith Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 21-02355 | 07/25/2022 | Claimant(s): Randy Nelson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Leyla Bari Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 21-02048 | 04/21/2022 | Claimant(s): Guy Clayton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): W. Preston Martin Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 21-01069 | 02/16/2022 | Claimant(s): Warren Gonzales Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): LPL Financial LLC Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA | | Dismissed by Rule 12206 |