Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-01477 | 05/09/2024 | Claimant(s): Joseph Swanson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Securities. Respondent Lawyers(s): Kathryn Roe Eldridge Arbitrator(s): Phyllis Karasov Hearing Site: Minneapolis, MN | ||
| 23-03182 | 03/13/2024 | Claimant(s): Jon Drees Claimant Lawyers(s): Jon Drees Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Grant D. Sanders Hearing Site: Minneapolis, MN |  | $0 |
| 22-02918 | 01/29/2024 | Claimant(s): Carlos Tobon Claimant Lawyers(s): Steven J. Weintraut Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Douglas J. Nesbit Hearing Site: Minneapolis, MN | | $4,000 |
| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab Claimant Lawyers(s): Michael E. Rowe Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 23-02204 | 12/14/2023 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Keith J. Barnett Respondent(s): Mitchell Roby Respondent Lawyers(s): Mitchell Roby Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN | ||
| 23-01044 | 11/16/2023 | Claimant(s): Michael Mc Conachie Claimant Lawyers(s): Michael E. Rowe Respondent(s): MML Investors Services Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): Leo G. Stern Hearing Site: Minneapolis, MN | ||
| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Roxanna V. Gonzalez Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-02606 | 11/08/2023 | Claimant(s): Travis Hansberger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 23-01038 | 09/22/2023 | Claimant(s): Kyle Schiffler Claimant Lawyers(s): Stephan Louviere Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Carl E. Ver Beek Hearing Site: Minneapolis, MN | ||
| 23-00202 | 09/13/2023 | Claimant(s): Ryan Wold Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Carl E. Ver Beek Hearing Site: Minneapolis, MN |