Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 16-01211 | 05/02/2017 | Claimant(s): Sid Ironson Claimant Lawyers(s): Sid Ironson Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Dale S. Cronnell, Sean Michael Peoples, Sean Alan D'Amico Hearing Site: Hartford, CT | ||
| 16-03246 | 03/17/2017 | Claimant(s): Citizens Securities. Claimant Lawyers(s): Michael E. Pastore Respondent(s): Steven Alexander Respondent Lawyers(s): Steven Preston Alexander Arbitrator(s): Gregory Hunter Mathews Hearing Site: Hartford, CT | ||
| 12-00832 | 03/10/2017 | Claimant(s): Estate of Gilmay C. Dube Claimant Lawyers(s): Thomas P. Willcutts Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Sean Alan D'Amico Hearing Site: Hartford, CT |  | $0 |
| 16-02158 | 01/24/2017 | Claimant(s): Sandra Petrone Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Edward Jones Respondent Lawyers(s): Darren Goodman Arbitrator(s): Steven T. Stern Hearing Site: Hartford, CT | | $0 |
| 15-03202 | 08/30/2016 | Claimant(s): Jason Savey Claimant Lawyers(s): Michael G. Gibson Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Deborah Dickstein Arbitrator(s): Steven T. Stern, Jeffrey H. Farrar, Sean Alan D'Amico Hearing Site: Hartford, CT | ||
| 15-02851 | 07/29/2016 | Claimant(s): Thaddeus Kabat Claimant Lawyers(s): Jennifer Tarr Respondent(s): Pasquale Rappa Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): Steven T. Stern Hearing Site: Hartford, CT | | $45,334 |
| 15-02319 | 06/16/2016 | Claimant(s): Camille Gagliardi Claimant Lawyers(s): Douglas A. Cho Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Kalusmeier Arbitrator(s): Karimu F. Hill-Harvey Hearing Site: Hartford, CT | ||
| 15-00138 | 05/31/2016 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Sandra D. Grannum Respondent(s): James Venditti Respondent Lawyers(s): James Frederick Venditti Arbitrator(s): Ann C. Northern Hearing Site: Hartford, CT | ||
| 15-02397 | 05/09/2016 | Claimant(s): David Smith Claimant Lawyers(s): David Neuman Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Alexander J. Nassar Arbitrator(s): Jim Geiger, Robert M. Singer, Patrick Leo Kennedy Hearing Site: Hartford, CT | | Dismissed by Rule 12206 |
| 14-00393 | 02/26/2016 | Claimant(s): Donna Brody Claimant Lawyers(s): Donna L. Brody Respondent(s): Legg Mason Wood Walker, Morgan Stanley, Patricia Walsh Respondent Lawyers(s): Chan Nam Arbitrator(s): Janet L. Brown, Abigail J. Pessen, Marissa A. Santangelo Hearing Site: Hartford, CT | | Dismissed by Rule 12206 |