Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02663 | 05/05/2021 | Claimant(s): William Herf Claimant Lawyers(s): Dochtor Kennedy Respondent(s): B. C. Ziegler And Company Respondent Lawyers(s): Jon Hackbarth Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-02989 | 05/04/2021 | Claimant(s): Kerri Jamison Claimant Lawyers(s): Zachary Hayes-Macauluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Renee Bryna Gerstman Hearing Site: Phoenix, AZ | ||
| 20-02680 | 04/29/2021 | Claimant(s): Max Sanel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Simon M. Levy Arbitrator(s): Erik R. Siering Hearing Site: Phoenix, AZ | ||
| 20-02892 | 04/23/2021 | Claimant(s): William Torriente Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Judy Louie Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-03178 | 04/21/2021 | Claimant(s): Todd Anderson Claimant Lawyers(s): Ross J. Kartez Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Timothy J. Kroll Hearing Site: Phoenix, AZ | ||
| 19-00519 | 04/08/2021 | Claimant(s): Claimant Lawyers(s): Respondent(s): TD Ameritrade., Purshe Kaplan Sterling Investments Respondent Lawyers(s): Neil S. Baritz, Sanay B. Panchal Arbitrator(s): Richard D. Fincher, Delores Manwar, Kenneth Layne Morrill Hearing Site: Phoenix, AZ |  | Expungement |
| 20-02006 | 03/26/2021 | Claimant(s): James Underhill Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Matthew Tracy Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | ||
| 20-03177 | 03/18/2021 | Claimant(s): Todd Anderson Claimant Lawyers(s): Ross Kartez Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-02266 | 02/23/2021 | Claimant(s): Michael Marshall Claimant Lawyers(s): James P. Galvin Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Benjamin F. Breslauer Hearing Site: Phoenix, AZ | ||
| 20-01770 | 02/19/2021 | Claimant(s): George Bruneau Claimant Lawyers(s): Dochtor Kennedy Respondent(s): TD Ameritrade. Respondent Lawyers(s): Ashley Kutz Kelley Arbitrator(s): Roger A. Geddes Hearing Site: Phoenix, AZ |