Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00144 | 06/10/2020 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Terrence Diehl Respondent Lawyers(s): Terrence Jeffrey Diehl Arbitrator(s): Jim Geiger Hearing Site: Syracuse, NY | ||
| 19-02748 | 04/27/2020 | Claimant(s): Michael Hearn Claimant Lawyers(s): Michael Christopher Hearn Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen Hearing Site: Syracuse, NY | ||
| 18-04407 | 10/07/2019 | Claimant(s): Clive Buchan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Hearing Site: Syracuse, NY | ||
| 18-01672 | 12/14/2018 | Claimant(s): Marc Johnson Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff S. Beckham Arbitrator(s): Ralph L. Halpern Hearing Site: Syracuse, NY | ||
| 18-02237 | 11/07/2018 | Claimant(s): Darcy LaLonde Claimant Lawyers(s): Darcy LaLonde Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Sydney H. Crowder Arbitrator(s): Robert J. Ambrogi Hearing Site: Syracuse, NY |  | $163 |
| 18-00291 | 08/23/2018 | Claimant(s): John Enright Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Lincoln Financial Advisors Corporation Respondent Lawyers(s): Kyle Osting Arbitrator(s): Jim Geiger Hearing Site: Syracuse, NY | ||
| 18-00181 | 06/22/2018 | Claimant(s): Michael Conzone Claimant Lawyers(s): Michael J Conzone Respondent(s): Morgan Stanley, Joseph Corona Respondent Lawyers(s): Jeremy S. Winer Arbitrator(s): Kenneth Dymond Hearing Site: Syracuse, NY | | $0 |
| 17-03116 | 05/24/2018 | Claimant(s): Michael Chadwick Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Cambridge Investment Research. Respondent Lawyers(s): Andrea Shafer Arbitrator(s): Robert J. Ambrogi Hearing Site: Syracuse, NY | ||
| 16-01558 | 06/29/2017 | Claimant(s): Richard Congel Claimant Lawyers(s): Richard C. Engel Respondent(s): Wells Fargo Advisors, Paul Kordziel Respondent Lawyers(s): Alan S. Rafterman Arbitrator(s): Stuart M. Schwartz, Michael J. McNeil, David R. Foley Hearing Site: Syracuse, NY | | Expungement |
| 16-00493 | 12/09/2016 | Claimant(s): David Kode Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Karl L. Marquardt Arbitrator(s): Stuart M. Schwartz, Carl J. Disalvatore, Ronald Francis Thompson Hearing Site: Syracuse, NY | | Dismissed by Rule 12206 |