Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00036 | 10/25/2022 | Claimant(s): Justin Neubauer Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Richard Gee Hearing Site: New York, NY | ||
| 22-00086 | 10/24/2022 | Claimant(s): Cesar Colis Vidal Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Andrew Joyce Arbitrator(s): Howard D. Jacob Hearing Site: New York, NY | ||
| 20-02412 | 10/21/2022 | Claimant(s): Richard Vincent Claimant Lawyers(s): Thomas McEvoy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Joan M. Traub Hearing Site: New York, NY | ||
| 21-02810 | 10/20/2022 | Claimant(s): Ariyo Noibi Claimant Lawyers(s): Ariyo Noibi Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Joseph I. Liebman Hearing Site: New York, NY |  | $0 |
| 21-02929 | 10/20/2022 | Claimant(s): Margaret Bui-Quan Claimant Lawyers(s): Kirk G. Smith Respondent(s): Cetera Advisor Networks Respondent Lawyers(s): Garry T. Stevens Arbitrator(s): David S. Billet, Timothy Robert Hott, Roger Pierro Hearing Site: New York, NY | | Dismissed by Rule 12206 |
| 22-00327 | 10/18/2022 | Claimant(s): Scott Rosenberg Claimant Lawyers(s): Anthony J. Borrelli Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Melissa J. Gworek Arbitrator(s): Gerry E. Feinberg, Mary P. Bass, Kathleen Cawley Hearing Site: New York, NY | ||
| 20-01504 | 10/18/2022 | Claimant(s): Stephen Zaminski Claimant Lawyers(s): Stefan Apotheker Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Kuan Huang Arbitrator(s): Karen J. Orlin, Albert Rizzo, Qiana Martin Hearing Site: New York, NY | | $0 |
| 21-01661 | 10/13/2022 | Claimant(s): Joseph Pietrykowski Claimant Lawyers(s): Todd A. Zuckerbrod Respondent(s): Santander Securities LLC Respondent Lawyers(s): Stuart D. Roberts Arbitrator(s): Richard W. Cutler, Linda Ashley, Jerome Francis Cangialosi Hearing Site: New York, NY | ||
| 22-00816 | 10/13/2022 | Claimant(s): Joel Ratzker Claimant Lawyers(s): Joel Ratzker Respondent(s): Transamerica Capital. Respondent Lawyers(s): Katherine C. Donlon Arbitrator(s): Judith C. Zerden Hearing Site: New York, NY | | $0 |
| 22-00648 | 10/11/2022 | Claimant(s): David Loeb Claimant Lawyers(s): Harris Freedman Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Howard D. Jacob Hearing Site: New York, NY |