Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-00700 | 10/31/2018 | Claimant(s): Kenneth Sorge Claimant Lawyers(s): Dochtor Kennedy Respondent(s): American Beacon Partners. Respondent Lawyers(s): Douglas A. Pavek Arbitrator(s): Tracy L. Allen Hearing Site: Milwaukee, WI | ||
| 18-02074 | 10/29/2018 | Claimant(s): Wells Fargo Clearing Services Claimant Lawyers(s): Miles D. Hart Respondent(s): John Leonard Respondent Lawyers(s): John Bradford Leonard Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 17-03354 | 10/24/2018 | Claimant(s): James Schrader Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Tracy L. Allen Hearing Site: Indianapolis, IN | ||
| 18-00401 | 09/10/2018 | Claimant(s): Bruce Ballard Claimant Lawyers(s): Michael Bessette Respondent(s): Morgan Stanley Respondent Lawyers(s): Todd A. Holeman Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 16-02696 | 09/10/2018 | Claimant(s): Jane Steinman, Jane E Steinman IRA, Ruth Steinman Granddaughter IRR Trust, Ruth Steinman Granddaughter's Trust Claimant Lawyers(s): Scott L. Silver Respondent(s): Newport Coast Securities. Respondent Lawyers(s): Kevin Lee Arbitrator(s): Tracy L. Allen Hearing Site: Cleveland, OH |  | $103,986 |
| 16-03491 | 08/29/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Travis Chapin Respondent(s): Michael Mawby Respondent Lawyers(s): Steve Wasserman Arbitrator(s): Tracy L. Allen, Stephen M. Bales, David Rosenblum Cohen Hearing Site: Cleveland, OH | ||
| 17-03421 | 08/27/2018 | Claimant(s): Brian Behl Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon D. Kaplon Arbitrator(s): Tracy L. Allen Hearing Site: Milwaukee, WI | ||
| 17-00360 | 08/13/2018 | Claimant(s): Mary Shea, Patrick Shea Claimant Lawyers(s): Adam Gana Respondent(s): Windsor Street Capital Respondent Lawyers(s): Compliance Officer Arbitrator(s): Tracy L. Allen, Michael S. Jordan, David E. Jarvis Hearing Site: Milwaukee, WI | | $4,978,000 |
| 17-00821 | 07/27/2018 | Claimant(s): David Ulrich Claimant Lawyers(s): Thomas H. Brandt Respondent(s): Roosevelt & Crossorporated Respondent Lawyers(s): Sandra P. Lahens Arbitrator(s): Tracy L. Allen, Patrick M. Markey, John C. Aten Hearing Site: Buffalo, NY | | Expungement |
| 17-02349 | 06/26/2018 | Claimant(s): Todd Allen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Tracy L. Allen Hearing Site: Buffalo, NY |