Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux Hearing Site: Denver, CO |  | $0 |
| 23-02907 | 04/03/2024 | Claimant(s): Matthew Adrian Claimant Lawyers(s): Everett Pritchard Respondent(s): OSAIC Wealth Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 23-02074 | 03/28/2024 | Claimant(s): Ann Stewart Claimant Lawyers(s): Christopher Lufrano Respondent(s): Parkland Securities Respondent Lawyers(s): Irit Walters Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | | Dismissed by Rule 12206 |
| 23-01961 | 03/15/2024 | Claimant(s): Mark Kennedy Claimant Lawyers(s): Debra A Jenks Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Michael S. Matek Hearing Site: Denver, CO | ||
| 23-02512 | 03/01/2024 | Claimant(s): Michael Mcgregor Claimant Lawyers(s): Harris Freedman Respondent(s): Wilbanks Securities. Respondent Lawyers(s): Randall Wilbanks Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha Claimant Lawyers(s): Jonathan Socha Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca Swenson Arbitrator(s): Andrew M. Mintzer Hearing Site: Denver, CO | | $0 |
| 23-01786 | 02/05/2024 | Claimant(s): Sean Westbrook Claimant Lawyers(s): Debra A. Jenks Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Charles G. Michaels Hearing Site: Denver, CO | ||
| 23-00321 | 12/06/2023 | Claimant(s): Scott Baker Claimant Lawyers(s): Harris Freedman Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Michael J Norton Hearing Site: Denver, CO | ||
| 20-01481 | 11/09/2023 | Claimant(s): Marc Broncucia Claimant Lawyers(s): Paul Vorndran Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Alyson Terrell Arbitrator(s): Michael S. Matek, Steven Meyrich, Mari C. Bush Hearing Site: Denver, CO | ||
| 23-00417 | 11/08/2023 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Eric D. Raphan Respondent(s): Jason Kurtz Respondent Lawyers(s): Jason Mark Kurtz Arbitrator(s): Kendall C. Reed Hearing Site: Denver, CO |