Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 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 | ||
| 22-01504 | 08/24/2023 | Claimant(s): Terrence Ransom Claimant Lawyers(s): Robert D. Loventhal Respondent(s): Richard Gozola Respondent Lawyers(s): Richard W. Gozola Arbitrator(s): Emily B. Boote, Martin D. Munic, Phyllis Karasov Hearing Site: Minneapolis, MN |  | Expungement |
| 22-01599 | 06/09/2023 | Claimant(s): Jamie Grupe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 21-01387 | 05/24/2023 | Claimant(s): Pascal Desrosiers Claimant Lawyers(s): Aklilu Dunlap Respondent(s): Truist Investment Services. Respondent Lawyers(s): Thomas DeFranco Arbitrator(s): Charles R. Manzoni, Peter N. Thompson, Jo Anne F. Lewellen Hearing Site: Minneapolis, MN | | $0 |
| 22-02619 | 04/03/2023 | Claimant(s): Jarod Martell Claimant Lawyers(s): Jarod Martell Respondent(s): Cash App Investing LLC Respondent Lawyers(s): Kevin J. Woods Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | | $150 |
| 21-00606 | 12/21/2022 | Claimant(s): Mitchell Bublitz, IRA Claimant Lawyers(s): Michael MacDonald Respondent(s): Stifel, Nicolaus & Co.., Richard Schultz Respondent Lawyers(s): Julie H. Firestone Arbitrator(s): Jack D. Elmquist, Douglas J. Nesbit, Mary Louise Hilfiker Hearing Site: Minneapolis, MN | | $1,000 |