Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01393 | 06/22/2021 | Claimant(s): Anil Gulati Claimant Lawyers(s): Louis Tambaro Respondent(s): Woodbury Financial Services., AXA Advisors Respondent Lawyers(s): Chad Weaver, Michael Bryant Arbitrator(s): Jonathan H. Krotinger Hearing Site: San Francisco, CA | ||
| 20-02957 | 06/15/2021 | Claimant(s): Ralph Adamo Claimant Lawyers(s): Frances Menzer Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Chad Weaver Arbitrator(s): Joyce L. Hurley Hearing Site: Los Angeles, CA | ||
| 18-00573 | 02/18/2021 | Claimant(s): Frank Cuenca, Timothy Sullivan Claimant Lawyers(s): Frank F. Sommers Respondent(s): National Planning Holding LLC, SII Investments. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Barbara M. Anscher, Thomas Arthur Cohen, Christopher Cother Powers Hearing Site: San Francisco, CA | ||
| 20-02154 | 01/26/2021 | Claimant(s): James Regitz Jr. Claimant Lawyers(s): Harris Freedman Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Chad Weaver Arbitrator(s): Michael Harrison Hearing Site: Los Angeles, CA | ||
| 20-01047 | 01/25/2021 | Claimant(s): Ralph Adamo Claimant Lawyers(s): Kurt Zimmerman Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Chad Weaver Arbitrator(s): Michael M. Hachigian Hearing Site: Los Angeles, CA | ||
| 17-00102 | 12/15/2020 | Claimant(s): Claimant Lawyers(s): Respondent(s): Ameriprise Financial Services, Li-lin Hsu Respondent Lawyers(s): Chad Weaver, Li-lin Hsu Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed Hearing Site: Los Angeles, CA |  | $0 |
| 20-00950 | 11/24/2020 | Claimant(s): Christopher Gammon Claimant Lawyers(s): Chad Weaver Respondent(s): IMS Securities. Respondent Lawyers(s): Jackie Wadsworth Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX | ||
| 20-00911 | 11/10/2020 | Claimant(s): John Scambray Claimant Lawyers(s): Michelle Atlas Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Alden Sharp Adkins Hearing Site: San Francisco, CA | ||
| 20-00910 | 09/30/2020 | Claimant(s): Securities America. Claimant Lawyers(s): Chad Weaver Respondent(s): Elliott Cox Respondent Lawyers(s): Elliott Charles Cox Arbitrator(s): Thomas D. Reese Hearing Site: San Francisco, CA | ||
| 19-02981 | 07/13/2020 | Claimant(s): Brenda Rossman Claimant Lawyers(s): Adam Gana Respondent(s): Investment Architects. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Mark Alan Sevigny, Gregory Douglas Stone, Carolyn Renee Payne Hearing Site: Los Angeles, CA | | Dismissed by Rule 12206/12504 |