Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00801 | 01/30/2024 | Claimant(s): Annella Dixon Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Tracy L. Allen, Gary P. Price, F. Bradford Johnson Hearing Site: Indianapolis, IN |  | $0 |
| 22-01894 | 01/16/2024 | Claimant(s): Western International Securities. Claimant Lawyers(s): Eric A. Michaels Respondent(s): Amar Toma Respondent Lawyers(s): Amar Toma Arbitrator(s): Tracy L. Allen, Carl E. Ver Beek, Richard Edward Rassel Hearing Site: Detroit, MI | | $353,717 |
| 23-01125 | 12/26/2023 | Claimant(s): Sahand Elmtalab Claimant Lawyers(s): Michael E. Rowe Respondent(s): Mml Investors Services, Llc, Northwestern Mutual Investment Services, Respondent Lawyers(s): Clarke C. Greene, Jullie E. Ravis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 23-00713 | 12/18/2023 | Claimant(s): Albert Kohout Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Tracy L. Allen Hearing Site: Indianapolis, IN | ||
| 23-00365 | 11/09/2023 | Claimant(s): Patrick Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Roxanna V. Gonzalez Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-02606 | 11/08/2023 | Claimant(s): Travis Hansberger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Shannon M. Wheaton Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 22-02861 | 09/25/2023 | Claimant(s): Karen Hoy Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH | ||
| 22-00492 | 06/26/2023 | Claimant(s): Annmarie Ryan Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Jonathan M. Sterling Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | Expungement | |
| 23-00261 | 06/23/2023 | Claimant(s): Jinsong You Claimant Lawyers(s): Jinsong You Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Kara Moore Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | | $0 |
| 22-01599 | 06/09/2023 | Claimant(s): Jamie Grupe Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN |