Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02094 | 12/16/2021 | Claimant(s): William Barrett, William G. Barrett Roth IRA Claimant Lawyers(s): Joseph Wojciechowski Respondent(s): Ausdal Financial Partners., Sentinus-Halo Securities Respondent Lawyers(s): Nancy L. Hendrickson Arbitrator(s): Tracy L. Allen, Sally J. Wiggins, Charles Kahn Hearing Site: Milwaukee, WI |  | Expungement |
| 21-01170 | 11/24/2021 | Claimant(s): Sanjay Beach Claimant Lawyers(s): Stephan Louviere Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH | ||
| 20-03486 | 10/11/2021 | Claimant(s): Steven Duke Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan Hackbarth Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-02996 | 07/06/2021 | Claimant(s): Daniel Steichen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 20-02781 | 05/20/2021 | Claimant(s): Jacob Allen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-02936 | 04/21/2021 | Claimant(s): Eric Wegner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Parkland Securities Respondent Lawyers(s): Randolph F. Pistor Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 20-02354 | 04/13/2021 | Claimant(s): Anthony Bonanno Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Park Avenue Securities. Respondent Lawyers(s): Kristin L. Wynne Arbitrator(s): Tracy L. Allen Hearing Site: Indianapolis, IN | ||
| 20-02818 | 04/09/2021 | Claimant(s): John Moriarty Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation Respondent Lawyers(s): Eric A. Michaels Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-00493 | 02/23/2021 | Claimant(s): Gerald Taylor Claimant Lawyers(s): Michael Bessette Respondent(s): Summit Brokerage Services. Respondent Lawyers(s): Steven E. Mellen Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 20-01412 | 02/23/2021 | Claimant(s): Amy Boyet Besse Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Rainmaker Securities Respondent Lawyers(s): Dominic Cioffi Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO |