Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 08-02733 | 02/26/2009 | Claimant(s): OptionsHouse. Claimant Lawyers(s): Lesley G. Smith Respondent(s): Robert Taddeo Respondent Lawyers(s): Robert Taddeo Arbitrator(s): Diane Getzler Hearing Site: Hartford, CT |  | $0 |
| 06-02155 | 02/12/2009 | Claimant(s): Richard Himmelstein Claimant Lawyers(s): Matthew Dallas Gordon Respondent(s): ING Financial Partners. Respondent Lawyers(s): Richard N. Freeth Arbitrator(s): Michael J. McCormack, Melinda S. Milberg, Edward Allison Downe Hearing Site: Hartford, CT | ||
| 07-03395 | 02/04/2009 | Claimant(s): Jean Nilsson Claimant Lawyers(s): Paul Sabia Respondent(s): Anthony Czarzasty, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Lauryn J. Hart Arbitrator(s): William I. Carmen Hearing Site: Hartford, CT | | Stipulated Award and Expungement |
| 07-02997 | 01/28/2009 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Frank J. Vitolo Respondent(s): Kevin O'Neil Respondent Lawyers(s): Kevin P. O'Neil Arbitrator(s): Dallas Whitney Coffman, Lane Steven Bucklan, James M Coakley Hearing Site: Hartford, CT | ||
| 08-02500 | 01/13/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Michael S. Colombo Respondent(s): Sandra Pope Respondent Lawyers(s): Sandra Pope Arbitrator(s): Dallas Whitney Coffman Hearing Site: Hartford, CT | ||
| 06-04160 | 12/12/2008 | Claimant(s): Karen Wagner Claimant Lawyers(s): Bart Heemskerk Respondent(s): Gerald Kalish, RBC Dain Rauscher. Respondent Lawyers(s): Patrick J. Howley Arbitrator(s): Robert M. Singer Hearing Site: Hartford, CT | | $0 |
| 07-02913 | 12/05/2008 | Claimant(s): Stanley Pomichter Claimant Lawyers(s): Bruce Day Respondent(s): Goldman, Sachs and Company Respondent Lawyers(s): Jonathan M. Sedlak Arbitrator(s): Thomas J. Donoghue, Jeffrey R. Hellman, Martin J. DeGennaro Hearing Site: Hartford, CT | ||
| 08-01784 | 12/02/2008 | Claimant(s): Mark Blau Claimant Lawyers(s): Mark Blau Respondent(s): TD Ameritrade. Respondent Lawyers(s): James Vihstadt Arbitrator(s): Samuel H. Chorches Hearing Site: Hartford, CT | | $0 |
| 06-04719 | 10/23/2008 | Claimant(s): Robert Grimm, William Featherston Claimant Lawyers(s): Robert H. Grimm Respondent(s): CBA Securities LLC Respondent Lawyers(s): Joseph Nocella Arbitrator(s): John Thomas Shaban Hearing Site: Hartford, CT | ||
| 07-00922 | 10/21/2008 | Claimant(s): Chatsworth Securities Claimant Lawyers(s): Kevin T. Hoffman Respondent(s): The GMS Group Respondent Lawyers(s): Robin C. Tarr Arbitrator(s): Barry Quint, William E.S. Browning, Kelly M. Lonergan Hearing Site: Hartford, CT |