Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 17-00398 | 03/27/2018 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Stephanie P. Berntsen Respondent(s): Kevin Clouse, RBC Capital Markets LLC Respondent Lawyers(s): James Sanders Arbitrator(s): Clydia Jean Cuykendall, Jonathan Avram Kroman, Chris Robert Youtz Hearing Site: Seattle, WA | ||
| 17-01341 | 03/08/2018 | Claimant(s): Mahnaz Daniali Claimant Lawyers(s): Mahnaz Daniali Respondent(s): Daniel Halsne, Wells Fargo Advisors Respondent Lawyers(s): T.R. Bynum Arbitrator(s): Peter H. Daly Hearing Site: Seattle, WA |  | $117 |
| 17-03187 | 03/07/2018 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Lindsay Wuller Respondent(s): Deborah Dodson Respondent Lawyers(s): Deborah Jean Dodson Arbitrator(s): Thomas R. Dreiling Hearing Site: Seattle, WA | ||
| 15-03159 | 10/06/2017 | Claimant(s): Janet Demarcke Claimant Lawyers(s): Jonathan Kurta Respondent(s): Phillip Multop Respondent Lawyers(s): Shannon L. McDougald Arbitrator(s): Robert M. Stein, John J. Fitzpatrick, Ian Stephen Birk Hearing Site: Seattle, WA | | Expungement |
| 17-00550 | 09/29/2017 | Claimant(s): Mark Graham Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA | ||
| 16-01999 | 09/26/2017 | Claimant(s): James Stofer Claimant Lawyers(s): David Neuman Respondent(s): Kevin Tolsma Respondent Lawyers(s): John R. Bamford Arbitrator(s): Thomas R. Dreiling, Ian Stephen Birk, Chris Robert Youtz Hearing Site: Seattle, WA | | $0 |
| 16-00949 | 07/11/2017 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Valery Gurin Respondent Lawyers(s): Valery Vitalievich Gurin Arbitrator(s): Joseph C. Roberts Hearing Site: Seattle, WA | ||
| 16-03194 | 06/26/2017 | Claimant(s): Dale Miller Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc., Citigroup Global Markets Inc. Respondent Lawyers(s): David I. Hantman, Valerie I. Holder Arbitrator(s): Philip Aaron Tymon Hearing Site: Seattle, WA | ||
| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): John Geelan Arbitrator(s): Michael Lancaster Garcia Hearing Site: Seattle, WA | ||
| 17-00454 | 06/20/2017 | Claimant(s): L. Dinea Norrell Claimant Lawyers(s): L. Dinea Norrell Respondent(s): LPL Financial LLC Respondent Lawyers(s): Andrea J. Ferranti Arbitrator(s): Thomas R. Dreiling Hearing Site: Seattle, WA | | $25,000 |