Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02420 | 05/04/2021 | Claimant(s): Tim Hakes Claimant Lawyers(s): Daniel D'Costa Respondent(s): The O.N Equity Sales Company Respondent Lawyers(s): Mark E. Elsener Arbitrator(s): Brett Coonrod Hearing Site: Kansas City, MO | ||
| 20-02426 | 04/30/2021 | Claimant(s): Scott Colangelo Claimant Lawyers(s): Daniel D'Costa Respondent(s): The O.N Equity Sales Company Respondent Lawyers(s): Jennifer Rockel Arbitrator(s): Bill Lamoreaux Hearing Site: Kansas City, MO | ||
| 20-02366 | 04/21/2021 | Claimant(s): Michelle Parretti Claimant Lawyers(s): Daniel D'Costa Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail D. Elrod Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA | ||
| 20-02390 | 04/02/2021 | Claimant(s): Alan Sharpe Claimant Lawyers(s): Daniel D'Costa Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Tiana M. Towns Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA | ||
| 20-02367 | 03/19/2021 | Claimant(s): Michelle Parretti Claimant Lawyers(s): Daniel D'Costa Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Steven S. Manos Hearing Site: Boston, MA | ||
| 20-01667 | 02/26/2021 | Claimant(s): Primo Bushati Claimant Lawyers(s): Daniel D'Costa Respondent(s): Bankers Life Securities. Respondent Lawyers(s): Steven K. Huffer Arbitrator(s): Brian G. Mooney Hearing Site: Tampa, FL | ||
| 20-01292 | 02/22/2021 | Claimant(s): Andrew Goldberg Claimant Lawyers(s): Daniel D'Costa Respondent(s): Metlife Securities. Respondent Lawyers(s): Martin Harris Arbitrator(s): Mark A Bilawsky Hearing Site: Boca Raton, FL | ||
| 20-02363 | 02/03/2021 | Claimant(s): Kamesh Nagarajan Claimant Lawyers(s): Daniel D'Costa Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail D. Elrod Arbitrator(s): William E. Nuckel Hearing Site: New York, NY | ||
| 19-00140 | 12/22/2020 | Claimant(s): John Laughlin Roth IRA Claimant Lawyers(s): Daniel D'Costa Respondent(s): Portfolio Advisors Alliance Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): James R. Stirn Hearing Site: Washington, DC |  | $15,000 |
| 18-03984 | 12/04/2020 | Claimant(s): Larry Schmalz, Robin Schmalz Claimant Lawyers(s): Daniel D'Costa Respondent(s): David Spratt, Joseph Amato, Kujtim Lulani, Michael Castillero, Rocco Guidicipietro, Thomas Sullivan, Alexander Capital, L.P. Respondent Lawyers(s): Lawrence R. Gelber, Scott Holcomb Arbitrator(s): Royce Russell, Gerald M. Levine, Peter E. Gillespie Hearing Site: New York, NY | | Settlement |