Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02309 | 12/12/2023 | Claimant(s): John Loughran Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Anna M. Fanelli Hearing Site: New York, NY | ||
| 22-01925 | 12/12/2023 | Claimant(s): Christopher Berthold Claimant Lawyers(s): Christopher Berthold Respondent(s): TD Ameritrade. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Arocles Aguilar Hearing Site: Seattle, WA |  | Dismissed by Rule 12212 and 12511 |
| 23-01475 | 12/12/2023 | Claimant(s): D.A. Davidson & Co. Claimant Lawyers(s): Nancy L. Hendrickson Respondent(s): Kevin Arvoy Respondent Lawyers(s): Kevin Michael Arvoy Arbitrator(s): Elizabeth Gilbert, Charles Platto, Douglas Mark Polley Hearing Site: New York, NY | ||
| 23-01435 | 12/12/2023 | Claimant(s): Jeffrey Hill Claimant Lawyers(s): Robert Jay Moses Respondent(s): American Portfolios Financial Srvs. Respondent Lawyers(s): Craig Vollono Arbitrator(s): John J. Mager Hearing Site: Albany, NY | ||
| 23-00545 | 12/12/2023 | Claimant(s): Martin Gruner Claimant Lawyers(s): Kristina Contreras Respondent(s): Morgan Stanley Respondent Lawyers(s): Alejandro Schwed Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL | ||
| 23-01895 | 12/11/2023 | Claimant(s): Mohamed Azeez Claimant Lawyers(s): Mohamed Azeez Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Charlton Young Arbitrator(s): Joanne Colbert Stanley Hearing Site: Boca Raton, FL | ||
| 22-02466 | 12/11/2023 | Claimant(s): Cordia Swanson Claimant Lawyers(s): Cordia Swanson Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tara A. LaClair Arbitrator(s): Randy R. Maher, David L. Moran, Hugh James Anderson Hearing Site: Las Vegas, NV | | Dismissed by Rule 12504(a)(6)(B) |
| 23-00099 | 12/11/2023 | Claimant(s): Greggory Keele Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Carl E. Ver Beek Hearing Site: Indianapolis, IN | ||
| 21-00561 | 12/11/2023 | Claimant(s): Credit Suisse Securities (USA) LLC Claimant Lawyers(s): Alexander C.B. Barnard Respondent(s): Daniel Caso Respondent Lawyers(s): Louis M. Ciavarra Arbitrator(s): Michael L. Letendre, Andrea J. Goldman, Stephen Polit Hearing Site: Boston, MA | ||
| 23-01335 | 12/11/2023 | Claimant(s): Christopher Rieger Claimant Lawyers(s): Harris Freedman Respondent(s): A.G.P. / Alliance Global Partners Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Kirtley M. Thiesmeyer Hearing Site: Los Angeles, CA |