Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00525 | 01/24/2023 | Claimant(s): John Zhang Claimant Lawyers(s): Zachary Morse Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose Claimant Lawyers(s): Jeffrey Thomas Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld Hearing Site: Reno, NV | ||
| 21-01249 | 08/17/2022 | Claimant(s): Rex Nassour IRA Claimant Lawyers(s): Michael S. Hill Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Laurel Littman Gothelf Hearing Site: Reno, NV |  | Expungement |
| 21-02526 | 05/27/2022 | Claimant(s): David Kimura Claimant Lawyers(s): Zachary Morse Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew T. Bohenek Arbitrator(s): Laurel Littman Gothelf Hearing Site: Honolulu, HI | ||
| 19-01619 | 05/26/2022 | Claimant(s): Daniella Rand Claimant Lawyers(s): Harris Freedman Respondent(s): Morgan Stanley Respondent Lawyers(s): Simon M. Levy Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 21-01373 | 02/25/2022 | Claimant(s): Ruben Tarkhanyan Claimant Lawyers(s): Chelsea Bauer Respondent(s): Assetmark Brokerage Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA | ||
| 21-01353 | 02/03/2022 | Claimant(s): Ivan Cen Claimant Lawyers(s): Christina Z. Vourakis Respondent(s): Cetera Investment Services LLC Respondent Lawyers(s): Jeremy Carr Arbitrator(s): Laurel Littman Gothelf, Jeffrey Schubert, Brian Kimball Hearing Site: San Francisco, CA | ||
| 21-00826 | 11/22/2021 | Claimant(s): Kenneth Bowers Claimant Lawyers(s): Dochtor Kennedy Respondent(s): The Prudential Insurance Co of America Respondent Lawyers(s): Jennifer E. Novoselsky Arbitrator(s): Laurel Littman Gothelf Hearing Site: Albuquerque, NM | ||
| 20-01987 | 08/25/2021 | Claimant(s): Karin Von Burg Claimant Lawyers(s): Mark A. Tepper Respondent(s): Calton & Associates. Respondent Lawyers(s): Lloyd R. Schwed Arbitrator(s): Joseph C. Roberts, Laurel Littman Gothelf, Gary H. Kahn Hearing Site: San Francisco, CA | | $0 |
| 21-00395 | 08/13/2021 | Claimant(s): Michelle Legatzke IRA Claimant Lawyers(s): David Liebrader Respondent(s): TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): Erinn M. Maguire Arbitrator(s): Laurel Littman Gothelf, Peter H. Daly, Lesley Ann Troope Hearing Site: Reno, NV | | Dismissed by Rule 12206(b) |