Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01752 | 06/14/2024 | Claimant(s): Steven Smith Claimant Lawyers(s): Scott L. Silver Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Joyce L. Hurley, Dana L. Bigman, Anita Rae Shapiro Hearing Site: Los Angeles, CA |  | Dismissed by Rule 12206 |
| 23-02907 | 04/03/2024 | Claimant(s): Matthew Adrian Claimant Lawyers(s): Everett Pritchard Respondent(s): OSAIC Wealth Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 23-02074 | 03/28/2024 | Claimant(s): Ann Stewart Claimant Lawyers(s): Christopher Lufrano Respondent(s): Parkland Securities Respondent Lawyers(s): Irit Walters Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | | Dismissed by Rule 12206 |
| 22-02203 | 07/03/2023 | Claimant(s): Brett Weichbrod Claimant Lawyers(s): Christina Z Vourakis Respondent(s): Sagepoint Financial. Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA | ||
| 22-01819 | 05/11/2023 | Claimant(s): Patrick Lowe Claimant Lawyers(s): Robert Jay Moses Respondent(s): Morgan Stanley Respondent Lawyers(s): Kathleen Salvaty Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA | ||
| 23-00171 | 04/13/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Christopher S. Koller Respondent(s): Howard Rowen Respondent Lawyers(s): Howard Steven Rowen Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA | ||
| 22-00412 | 01/10/2023 | Claimant(s): Kenneth South Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Ronald L. Cameron, Blaine Smith, Anita Rae Shapiro Hearing Site: Los Angeles, CA | ||
| 22-00414 | 11/07/2022 | Claimant(s): Kenneth South Claimant Lawyers(s): Patrick R. Mahoney Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Mario H. Metzger, Michael Harrison, Anita Rae Shapiro Hearing Site: Los Angeles, CA | ||
| 22-00031 | 09/08/2022 | Claimant(s): Joseph Sturniolo Claimant Lawyers(s): Michael Bessette Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 21-01875 | 05/20/2022 | Claimant(s): Francis Tran Claimant Lawyers(s): Samantha Pastor Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Emma M. Tomsick Arbitrator(s): Anita Rae Shapiro Hearing Site: Los Angeles, CA |