Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03307 | 05/06/2021 | Claimant(s): Matthew Davies Claimant Lawyers(s): Robert D. Mitchell Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Kenneth J. Turnbull Arbitrator(s): Merton E. Marks, Walter Steven Schwartz, John Josef Kazanjian Hearing Site: Phoenix, AZ | ||
| 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 | ||
| 20-02892 | 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 | ||
| 20-03177 | 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 | ||
| 20-01457 | 12/31/2020 | Claimant(s): Kelly Richards Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Capital Investment Group. Respondent Lawyers(s): Steven Blair Wilson Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-01105 | 11/09/2020 | Claimant(s): Steven Adams Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT | ||
| 18-02790 | 05/10/2019 | Claimant(s): Travis Hudak Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Eagle Gate Securities. Respondent Lawyers(s): Chase A. Adams Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT | ||
| 18-03073 | 03/25/2019 | Claimant(s): William Ferguson Claimant Lawyers(s): William Dean Ferguson Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Elizabeth H. Lindh Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 18-01112 | 12/31/2018 | Claimant(s): Stephen Swensen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Corporate Office Arbitrator(s): Merton E. Marks Hearing Site: Salt Lake City, UT | ||
| 18-01301 | 11/21/2018 | Claimant(s): Jason Zilveti Claimant Lawyers(s): Hillary Darnell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig Vollono Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ |