Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-03321 | 01/25/2021 | Claimant(s): John Holborn Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): David Shapiro, CNL Securities Corp., Cadaret, Grant & Co.. Respondent Lawyers(s): David G. Buffa, Jonathan E. Green Arbitrator(s): Tracy L. Allen, Kathleen P. Helbig-Hannan, Gerald Grace Hearing Site: Buffalo, NY |  | Dismissed by Rule 12206 |
| 20-01028 | 01/13/2021 | Claimant(s): Diane Ranck, Robert Ranck Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Cory D. Olson Arbitrator(s): Tracy L. Allen, Alain Frecon, John Edward Jackson Hearing Site: Des Moines, IA | | Dismissed by Rule 12206 |
| 20-00925 | 12/22/2020 | Claimant(s): Gregg Martinsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Tracy L. Allen Hearing Site: Buffalo, NY | ||
| 20-01574 | 12/11/2020 | Claimant(s): Sheldon Harber Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-01545 | 10/30/2020 | Claimant(s): Daniel Kautz Claimant Lawyers(s): Robert Moses Respondent(s): American Portfolios Financial Srvs. Respondent Lawyers(s): Craig Vollono Arbitrator(s): Tracy L. Allen Hearing Site: Buffalo, NY | ||
| 20-00969 | 10/16/2020 | Claimant(s): Michael Hess 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 | ||
| 19-03454 | 09/25/2020 | Claimant(s): John Vandyke Claimant Lawyers(s): Benjamin Winograd Respondent(s): QA3 Financial Corp. Respondent Lawyers(s): Company President Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 18-03398 | 08/24/2020 | Claimant(s): George Wildrick Claimant Lawyers(s): Frank Aiello Respondent(s): Wells Fargo Clearing Services, Robert Lyons Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Barry Goldman, Patrick R. Sughroue, Tracy L. Allen Hearing Site: Detroit, MI | | $54,532 |
| 19-03166 | 08/21/2020 | Claimant(s): David Himich Claimant Lawyers(s): Harris Freedman Respondent(s): Morgan Stanley Respondent Lawyers(s): Abigail D. Elrod Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 19-03007 | 08/17/2020 | Claimant(s): Khalil Rammal Claimant Lawyers(s): Khalil Ismail Rammal Respondent(s): Natcity Investments. Respondent Lawyers(s): Robert S. Whiteman Arbitrator(s): Tracy L. Allen, Patrick A. Guentner, Sheldon Jacob Stark Hearing Site: Detroit, MI |