Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00578 | 11/17/2023 | Claimant(s): Tim Tompkins Claimant Lawyers(s): Jonathan Kurta Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Emily M. Knight Arbitrator(s): Kenneth R. Starr, Danny Lynn Ingram, Karen Bonnie Biggs Hearing Site: Raleigh, NC |  | Dismissed by Rule 12206(b) |
| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp. Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley Hearing Site: Denver, CO |