Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-00739 | 10/24/2019 | Claimant(s): Brian Lockett, Morgan Arford Claimant Lawyers(s): John A. Bender Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Philip E. Cutler Hearing Site: Seattle, WA | ||
| 19-01270 | 09/17/2019 | Claimant(s): Rogelio Silva Claimant Lawyers(s): Rogelio Silva Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Thomas R. Dreiling Hearing Site: Seattle, WA |  | $0 |
| 18-04411 | 09/09/2019 | Claimant(s): Kathleen Hobart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Igor V. Stadnik Arbitrator(s): Helen Marinak Blohm Hearing Site: Seattle, WA | ||
| 18-04367 | 08/29/2019 | Claimant(s): Aaron Olson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Igor V. Stadnik Arbitrator(s): Philip Aaron Tymon Hearing Site: Seattle, WA | ||
| 18-03840 | 08/09/2019 | Claimant(s): Colin Hawkes, Stacy Oster Claimant Lawyers(s): Valerie I. Holder Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Matthew F. Renna Arbitrator(s): Sterling N. Frost Hearing Site: Seattle, WA | ||
| 18-04368 | 08/02/2019 | Claimant(s): Timothy Thomas Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Timothy L. Moore Arbitrator(s): David William Hickman Hearing Site: Seattle, WA | ||
| 18-04412 | 07/24/2019 | Claimant(s): Kathleen Hobart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Nicholas Y. Lin Arbitrator(s): Paul R. Meyer Hearing Site: Seattle, WA | ||
| 18-04413 | 07/24/2019 | Claimant(s): Kathleen Hobart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Brandy Pikus Arbitrator(s): William Michael Samsel Hearing Site: Seattle, WA | ||
| 18-04038 | 07/23/2019 | Claimant(s): Erinn Ford Claimant Lawyers(s): Jennifer Gutenberg Respondent(s): Cetera Advisors LLC., Pacific West Securities. Respondent Lawyers(s): Jeremy Carr, Philip A. Pizelo Arbitrator(s): David William Hickman Hearing Site: Seattle, WA | ||
| 19-00093 | 07/23/2019 | Claimant(s): Brandan Terkel Claimant Lawyers(s): Brandan Terkel Respondent(s): TD Ameritrade., TD Securities (USA) LLC Respondent Lawyers(s): Amanda Wright, Julian W. Friedman Arbitrator(s): Katherine Hendricks Hearing Site: Seattle, WA | | $0 |