Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00953 | 12/09/2022 | Claimant(s): Anuphong Sivatitikul, Sukanya Thudsuan Claimant Lawyers(s): David Neuman Respondent(s): Narongdej Jaroensabphayanont Respondent Lawyers(s): Narongdej Jaroensabphayanont Arbitrator(s): Mark Lee Haggard Hearing Site: Seattle, WA |  | $53,768 |
| 18-01399 | 12/24/2019 | Claimant(s): Michele Schultz, Michele C. Schultz Family Living Trust Claimant Lawyers(s): David Neuman Respondent(s): Jerry Guttman Respondent Lawyers(s): Gregory T. Everts Arbitrator(s): Richard D. Fincher, Frank R. Mead, Patrick Irvine Hearing Site: Phoenix, AZ | | Stipulated Award |
| 18-02485 | 07/11/2019 | Claimant(s): Donald Rensch Claimant Lawyers(s): David Neuman Respondent(s): Travis Hudak Respondent Lawyers(s): Dochtor Kennedy Arbitrator(s): Donald N. Tolin, Richard Marc Weinroth, Barbara M. Anscher Hearing Site: Salt Lake City, UT | | $0 |
| 18-01500 | 01/04/2019 | Claimant(s): Mark Nudelman Claimant Lawyers(s): David Neuman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Peter W. Howell Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA | | Expungement |
| 17-00452 | 07/20/2018 | Claimant(s): Andres Romero Claimant Lawyers(s): David Neuman Respondent(s): Legend Securities. Respondent Lawyers(s): Salvatore C. Caruso Arbitrator(s): Thomas R. Bromberg Hearing Site: Albuquerque, NM | | $48,266 |
| 17-02071 | 06/18/2018 | Claimant(s): Daniel Gallagher, Theresa Gallagher Claimant Lawyers(s): David Neuman Respondent(s): Ameritas Investment Corp. Respondent Lawyers(s): Jamie B. Palfai Arbitrator(s): I. Douglas Dunipace Hearing Site: Phoenix, AZ | | Dismissed by Rule 12206 |
| 16-02038 | 01/23/2018 | Claimant(s): David Harter Claimant Lawyers(s): David Neuman Respondent(s): Crown Capital Securities, L.P. Respondent Lawyers(s): Craig R. Bockman Arbitrator(s): Kenneth E. Owen, Noel Harvey Applebaum, Joseph Francis Young Hearing Site: Los Angeles, CA | | Expungement |
| 16-01999 | 09/26/2017 | Claimant(s): James Stofer Claimant Lawyers(s): David Neuman Respondent(s): Kevin Tolsma Respondent Lawyers(s): John R. Bamford Arbitrator(s): Thomas R. Dreiling, Ian Stephen Birk, Chris Robert Youtz Hearing Site: Seattle, WA | | $0 |
| 16-00035 | 07/03/2017 | Claimant(s): David Kalin, The David P. Kalin Roth IRA Claimant Lawyers(s): David Neuman Respondent(s): Michael Clements, Avenir Financial Group Respondent Lawyers(s): Michael Todd Clements, Michael Clements Arbitrator(s): Richard R. Logsdon Hearing Site: Tampa, FL | | Expungement |
| 15-03423 | 12/20/2016 | Claimant(s): Norman Rupp Claimant Lawyers(s): David Neuman Respondent(s): Newport Coast Securities. Respondent Lawyers(s): David A. Druz Arbitrator(s): Thomas R. Bromberg Hearing Site: Salt Lake City, UT | | $49,999 |