Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 13-01153 | 02/25/2014 | Claimant(s): Joseph Cullen Claimant Lawyers(s): Joseph Cullen Respondent(s): Janice Suutala, Thrivent Investment Management Inc. Respondent Lawyers(s): Peter J. Bado Arbitrator(s): William H. Malloy Hearing Site: Washington, DC | ||
| 12-00465 | 06/29/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings Claimant Lawyers(s): Brady J. Hermann Respondent(s): Brendan O'brien Respondent Lawyers(s): Brendan Patrick O'Brien Arbitrator(s): William H. Malloy Hearing Site: Baltimore, MD | ||
| 11-01928 | 04/24/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): Peter Oristian Respondent Lawyers(s): Peter J. Oristian Arbitrator(s): William H. Malloy Hearing Site: Baltimore, MD | ||
| 10-04689 | 09/27/2011 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Todd Ratner Respondent(s): Justin Barch Respondent Lawyers(s): Justin R. Barch Arbitrator(s): William H. Malloy Hearing Site: Washington, DC | ||
| 10-01900 | 06/14/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Andrew R. Park Respondent(s): Robert Isom Respondent Lawyers(s): John S. Pringle, Jr. Arbitrator(s): William H. Malloy Hearing Site: Columbia, SC | ||
| 09-04612 | 03/17/2010 | Claimant(s): Nhu-Ngoc Huynh Claimant Lawyers(s): Nhu-Ngoc Huynh Respondent(s): Princor Financial Services Respondent Lawyers(s): Kenneth M. Kolaski Arbitrator(s): William H. Malloy Hearing Site: Washington, DC |  | $3,323 |
| 08-03406 | 07/30/2009 | Claimant(s): Larry Overbay Claimant Lawyers(s): Larry W. Overbay Respondent(s): Danielle Newman, Robert Carpenter Respondent Lawyers(s): Demian J. Betz Arbitrator(s): William H. Malloy Hearing Site: Baltimore, MD | | $15,031 |