Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-03192 | 06/02/2020 | Claimant(s): Rex Emery Claimant Lawyers(s): Michael Bessette Respondent(s): AXA Advisors Respondent Lawyers(s): Lynnette Cortes Mhatre Arbitrator(s): Susan L. Walker Hearing Site: Denver, CO | ||
| 19-03053 | 05/07/2020 | Claimant(s): Jeffrey Gore Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 19-03362 | 04/30/2020 | Claimant(s): Matthew Wilson Claimant Lawyers(s): Frances Menzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Marilyn R. Lewis Hearing Site: Denver, CO | ||
| 18-01058 | 04/15/2020 | Claimant(s): David Mitton Claimant Lawyers(s): Jeffrey Pederson Respondent(s): Taylor Capital Management Inc. Respondent Lawyers(s): Peter Hardin Arbitrator(s): Charles G. Michaels, Ronald G. Guida, Wendy P Rouder Hearing Site: Denver, CO |  | $303,101 |
| 19-03422 | 03/26/2020 | Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Richard Kuhlman Respondent(s): Sanjoy Dasgupta Respondent Lawyers(s): Sanjoy Dasgupta Arbitrator(s): Mary C. Davis Hearing Site: Denver, CO | ||
| 17-03511 | 03/13/2020 | Claimant(s): Gregory Zimmerman, Staci Walls Claimant Lawyers(s): Aaron Israels Respondent(s): Alps Distributors., Alps Portfolio Solutions Distributor Inc Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Ilene T. Gormly Hearing Site: Denver, CO | ||
| 18-01845 | 03/13/2020 | Claimant(s): Yang Song Claimant Lawyers(s): Yang Lucas Song Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Jeffrey S. Dunlap Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Carla B. Minckley Hearing Site: Denver, CO | ||
| 19-03469 | 03/04/2020 | Claimant(s): AXA Advisors, AXA Network Claimant Lawyers(s): Raha Assadi Respondent(s): Scott McVicker Respondent Lawyers(s): Scott Evans McVicker Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO | ||
| 19-01688 | 02/28/2020 | Claimant(s): Steven Southworth Claimant Lawyers(s): Frances Menzer Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 19-03127 | 01/29/2020 | Claimant(s): Thomas Hallenbeck, Thomas Hallenbeck IRA Claimant Lawyers(s): Bradley D. Schnur Respondent(s): Windsor Street Capital Respondent Lawyers(s): John W. Stalanski Arbitrator(s): Deanna M. Tuley Hearing Site: Denver, CO | | Dismissed |