Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-01497 | 11/11/2019 | Claimant(s): Edward Engbarth Claimant Lawyers(s): Edward Engbarth Respondent(s): Joseph Amato, Alexander Capital, L.P. Respondent Lawyers(s): Martin P. Unger Arbitrator(s): Marc Kalish Hearing Site: Phoenix, AZ |  | $10,141 |
| 18-04092 | 11/05/2019 | Claimant(s): Marc Menton Claimant Lawyers(s): Alan Baskin Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Donald A. Corbett Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson Hearing Site: Phoenix, AZ | ||
| 19-00379 | 11/01/2019 | Claimant(s): Christopher Adikwu Claimant Lawyers(s): Joshua B. Kons Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Eric Dowell Arbitrator(s): Marc Kalish, Mary M. O'Neil, Holly A. Hart Hearing Site: Phoenix, AZ | ||
| 19-01226 | 10/24/2019 | Claimant(s): Billie Nelson Claimant Lawyers(s): Billie Barbara Nelson Respondent(s): Michael Self Respondent Lawyers(s): T. J. Mitchell Arbitrator(s): Donald Dreyfus Hearing Site: Phoenix, AZ | | $0 |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu Claimant Lawyers(s): Jon A Titus Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tara A. LaClair Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau Hearing Site: Phoenix, AZ | | $330,000 |
| 19-00986 | 09/30/2019 | Claimant(s): William Zenk Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): James V. Noblett Arbitrator(s): Richard D. Fincher Hearing Site: Phoenix, AZ | ||
| 18-02600 | 09/27/2019 | Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Bryce Shelman Respondent(s): Steven Thrush Respondent Lawyers(s): Steven James Thrush Arbitrator(s): Richard Marc Weinroth, Barbara Carolyn Klabacha, James St. Pierre Christian Hearing Site: Phoenix, AZ | ||
| 18-04058 | 09/16/2019 | Claimant(s): John Cartolano Claimant Lawyers(s): Robert D. Mitchell Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Marcia A. Herrmann, Michael Kelley, Ernst Janensch Hearing Site: Phoenix, AZ | ||
| 19-00995 | 09/16/2019 | Claimant(s): Scott Genzman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): I Douglas Dunipace Hearing Site: Phoenix, AZ | ||
| 19-01004 | 09/06/2019 | Claimant(s): Hamilton Durning Claimant Lawyers(s): Hamilton L. Durning Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ilana Herscovitz Reid Arbitrator(s): Louis M. Parker Hearing Site: Phoenix, AZ | | $0 |