Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil Claimant Lawyers(s): Jeffrey R. Thomas Respondent(s): Triad Advisors LLC Respondent Lawyers(s): James V. Noblett Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush Hearing Site: Denver, CO | ||
| 21-00074 | 12/29/2021 | Claimant(s): Xiujuan Zhu Roth IRA, Zhiming Lu Roth IRA Claimant Lawyers(s): Michael Hill Respondent(s): Royal Alliance Associates. Respondent Lawyers(s): Greg Curley Arbitrator(s): Adam Michael Porter Hearing Site: Denver, CO |  | $30,225 |
| 20-03918 | 12/17/2021 | Claimant(s): Howard Hill Claimant Lawyers(s): Zachary Morse Respondent(s): World Capital Brokerage. Respondent Lawyers(s): David von Gunten Arbitrator(s): Richard Djokic Hearing Site: Denver, CO | ||
| 19-01854 | 11/23/2021 | Claimant(s): Timothy Greer Claimant Lawyers(s): Mark Appleton Respondent(s): Carol Chairito Respondent Lawyers(s): Joshua Kons Arbitrator(s): Leonard M. Goldstein, Julie Judith Lurman Joly, Albert Lee Birdsell Hearing Site: Denver, CO | | $0 |
| 18-02516 | 11/15/2021 | Claimant(s): Estate of David McOllough Claimant Lawyers(s): Thomas J. Radio Respondent(s): Edward Jones Respondent Lawyers(s): Matthew E. Johnson Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO | | Expungement |
| 18-03893 | 10/15/2021 | Claimant(s): Shawn Lawson Claimant Lawyers(s): Clinton W. Marrs Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Ronald G. Guida, Richard Djokic, Henry Zabarsky Hearing Site: Denver, CO | ||
| 20-00400 | 09/29/2021 | Claimant(s): John Elliott Claimant Lawyers(s): Matthew R. Lewis Respondent(s): TD Ameritrade Clearing., TD Ameritrade. Respondent Lawyers(s): Eric A. Bensky Arbitrator(s): Marilyn R. Lewis, Rick Gale Doty, Ruth M. Moore Hearing Site: Denver, CO | | $2,082,150 |
| 21-00758 | 09/22/2021 | Claimant(s): William Stordahl Claimant Lawyers(s): Chelsea Masters Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Thaddeus J. Tecza Hearing Site: Denver, CO | ||
| 20-03651 | 09/16/2021 | Claimant(s): Bradley Thompson Claimant Lawyers(s): Harris Freedman Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | ||
| 21-00850 | 08/30/2021 | Claimant(s): Rachel Comfort Claimant Lawyers(s): Zachary S. Morse Respondent(s): Equitable Advisors Respondent Lawyers(s): Michael . J Biondi Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO |