Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 13-01095 | 06/16/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher S. Griesmeyer Respondent(s): Thomas Staley Respondent Lawyers(s): Thomas Staley Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | ||
| 13-00986 | 09/25/2013 | Claimant(s): Velma H. Petty, IRA Claimant Lawyers(s): Richard S. Frankowski Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Thomas F. Barnett Arbitrator(s): Robert S. McConnell Hearing Site: Birmingham, AL |  | $44,262 |
| 12-02222 | 08/08/2013 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Carolyn Guy Respondent(s): Jerry Nichols Respondent Lawyers(s): Jerry Lee Nichols Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | ||
| 12-03746 | 07/23/2013 | Claimant(s): Alfonso A. Larriva Claimant Lawyers(s): Alfonso A. Larriva Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | | $0 |
| 12-01503 | 05/22/2013 | Claimant(s): James Britt Claimant Lawyers(s): James Britt Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): James C. Browning Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | ||
| 12-00213 | 02/20/2013 | Claimant(s): John Butler Claimant Lawyers(s): Benjamin Lapin Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | | $0 |
| 12-01834 | 11/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jeffrey M. Csercsevits Respondent(s): Steven Castro Respondent Lawyers(s): Steven Brian Castro Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | ||
| 11-04462 | 06/25/2012 | Claimant(s): Invest Financial Corporation Claimant Lawyers(s): Edwin A. Barkel Respondent(s): Rolf Heartburg Respondent Lawyers(s): Rolf Arik Heartburg Arbitrator(s): Robert S. McConnell Hearing Site: Phoenix, AZ | ||
| 11-00024 | 01/26/2012 | Claimant(s): Securities America. Claimant Lawyers(s): Kelly R. Davis Respondent(s): Scot Barringer Respondent Lawyers(s): Scot Barringer Arbitrator(s): Robert S. McConnell Hearing Site: Denver, CO | ||
| 10-05397 | 03/23/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Michael S. Colombo Respondent(s): Gary Headding Respondent Lawyers(s): Gary Headding Arbitrator(s): Robert S. McConnell Hearing Site: Los Angeles, CA |