Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00770 | 09/08/2023 | Claimant(s): AIStorm. Claimant Lawyers(s): Robert J. Barker Respondent(s): Citigroup Global Markets., Shannon Koffman Respondent Lawyers(s): Ellen M. Murphy Arbitrator(s): Robert C. Rice Hearing Site: Houston, TX |  | $0 |
| 22-00408 | 08/29/2023 | Claimant(s): Rafael Friederichsen Claimant Lawyers(s): S. Bruce Hiran Respondent(s): BBVA Securities Inc. Respondent Lawyers(s): John O. Lukanski Arbitrator(s): Daniel J. Pagnano, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX | ||
| 22-02523 | 08/03/2023 | Claimant(s): Donald Terry Claimant Lawyers(s): Brian Luther Respondent(s): Principal Securities. Respondent Lawyers(s): Destinee Campbell Small Arbitrator(s): Robert C. Rice Hearing Site: Houston, TX | ||
| 22-02786 | 07/13/2023 | Claimant(s): Cyrus Sajna Claimant Lawyers(s): Cyrus Sajna Respondent(s): Tigress Financial Partners Respondent Lawyers(s): Kris Taylor Arbitrator(s): Daniel D. Hill, Nohayia Javed, Bernardo S. Garza Hearing Site: Houston, TX | | Dismissed by Rule 12504 |
| 22-01682 | 06/30/2023 | Claimant(s): Stephen Caton Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katelyn H. Wilson Arbitrator(s): Maryanne M. Esser Hearing Site: Houston, TX | ||
| 22-01333 | 06/23/2023 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Jonathan D. Berg Respondent(s): Joshua Maniscalco Respondent Lawyers(s): Joshua P. Maniscalco Arbitrator(s): Samuel Olutola Akeju, Montie G. Grimes, Peter Ntephe Hearing Site: Houston, TX | $641,262 | |
| 22-02421 | 06/20/2023 | Claimant(s): Paolo Thompson Claimant Lawyers(s): Robert K. Jamieson Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Leslie Bernard Jallans, Lynne M. Gomez, Montie G. Grimes Hearing Site: Houston, TX | ||
| 22-02626 | 06/14/2023 | Claimant(s): Benton Lacy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BBVA Compass Investment Solutions. Respondent Lawyers(s): Katie M. Kimbrell Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 22-01754 | 06/05/2023 | Claimant(s): Kimberly Ripoll Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Jason Kempf Arbitrator(s): Allan R. Lazor Hearing Site: Houston, TX | ||
| 23-00356 | 05/23/2023 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC Claimant Lawyers(s): Erin Friel Elmore Respondent(s): Ramon Perez Respondent Lawyers(s): Ramon Paul Perez Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX |