Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 21-00021 | 01/06/2022 | Claimant(s): Dierdre Hallick, Mark Hallick Claimant Lawyers(s): Jason J. Kane Respondent(s): Securities America., Investacorp Inc., Stephen Lawler, First Allied Securities. Respondent Lawyers(s): Justin Sacca, Sean T. Needham Arbitrator(s): Leonard Arthur Nelson, Jonathan B. Gilbert, Stuart W. Smith Hearing Site: Chicago, IL |  | Dismissed by Rule 12206 |
| 18-00177 | 04/08/2019 | Claimant(s): Jeffrey Cox, Samuel Garrido Claimant Lawyers(s): Lars Soreide Respondent(s): LPL Financial LLC, Cetera Investment Services LLC Respondent Lawyers(s): David J. Freniere, Sean T. Needham Arbitrator(s): Daniel J. Pagnano, Charles Leonard Smith, Nick Thomas Hearing Site: Houston, TX | | Expungement |
| 17-02921 | 05/10/2018 | Claimant(s): Elaine Babbitt, Sarah Hedges Claimant Lawyers(s): Sarah A. Hedges Respondent(s): Scott Edwards Respondent Lawyers(s): Sean T. Needham Arbitrator(s): Stephen P. Calardo Hearing Site: Cincinnati, OH | | $14,252 |