Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 18-01421 | 04/01/2019 | Claimant(s): Wendy McDaniel Claimant Lawyers(s): Scott L. Silver Respondent(s): Windsor Street Capital Respondent Lawyers(s): John Stalanski Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX |  | $100,000 |
| 17-02604 | 03/25/2019 | Claimant(s): Kathy Engberg Claimant Lawyers(s): Kathy Engberg Respondent(s): Wells Fargo Advisors, Richard Dunagan Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Frank M. Romano, Thomas A. Martin, Eric R. Benton Hearing Site: Houston, TX | | $0 |
| 18-02502 | 03/08/2019 | Claimant(s): Lance Roberts Claimant Lawyers(s): Dochtor D. Kennedy Respondent(s): Nelsonreid. Respondent Lawyers(s): John Starks Arbitrator(s): Frank M. Romano Hearing Site: Houston, TX | ||
| 18-02818 | 03/04/2019 | Claimant(s): Scott Bishop Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Brian P. Harlan Arbitrator(s): G. Maynard Green Hearing Site: Houston, TX | ||
| 18-01130 | 02/26/2019 | Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle A. Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig. Vollono Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 17-01426 | 02/19/2019 | Claimant(s): Beatrice Welscher, Craig Welscher, Norma Welscher Claimant Lawyers(s): Leonard J. Meyer Respondent(s): Wells Fargo Clearing Services, Richard DeYoung Respondent Lawyers(s): Edward F. Fernandes Arbitrator(s): Thomas M. Campbell, Leonard J. Sullivan, Jeff Kilgore Hearing Site: Houston, TX | | $786,600 |
| 18-03178 | 02/14/2019 | Claimant(s): Kristi Prewitt Claimant Lawyers(s): Kristi Prewitt Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): Raymond C. Kerr Hearing Site: Houston, TX | | $0 |
| 18-01371 | 02/12/2019 | Claimant(s): Rafael Locken-Testa Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Daniel J. Pagnano Hearing Site: Houston, TX | ||
| 18-01132 | 02/11/2019 | Claimant(s): Robert Buchanan Claimant Lawyers(s): Joelle Simms Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Craig A. Vollono Arbitrator(s): Brian James Tagtmeier Hearing Site: Houston, TX | ||
| 18-01475 | 02/04/2019 | Claimant(s): Michael Murphy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Paul Yarns Arbitrator(s): Sherry R. Wetsch Hearing Site: Houston, TX |