Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-02768 | 08/09/2024 | Claimant(s): Francis Amsler, Marc Laborde Claimant Lawyers(s): Jennifer Poole Farrar Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 23-02972 | 08/09/2024 | Claimant(s): Keith Patterson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets., Securities America., Investacorp Inc. Respondent Lawyers(s): Adam Kauff, Jennifer R. Cox Arbitrator(s): Jeffrey R. Jury Hearing Site: Houston, TX | ||
| 23-02824 | 08/09/2024 | Claimant(s): Mychael Nguyen Claimant Lawyers(s): Harris Freedman Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Andrew S. Azarmi Arbitrator(s): Shawn Ridgell Hearing Site: San Francisco, CA | ||
| 23-02731 | 08/09/2024 | Claimant(s): Morris Murciano Claimant Lawyers(s): Thomas P. McEvoy Respondent(s): MBSC Securities Corporation Respondent Lawyers(s): James H. Forte Arbitrator(s): Lynne M. Reid-McQueen Hearing Site: New York, NY | ||
| 23-02850 | 08/07/2024 | Claimant(s): Neil Collins Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Deirdre C. Wolff Arbitrator(s): Jeffrey P. Petrucelly Hearing Site: Boston, MA | ||
| 22-02810 | 08/07/2024 | Claimant(s): Sandra Stahlke, William Stahlke Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Anthony J. Borrelli Arbitrator(s): Michael J. Quarequio, Joseph Benalt, Stephenie Dorris Hearing Site: Boca Raton, FL |  | Expungement |
| 23-02503 | 08/07/2024 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Ray Mahdavi Respondent(s): Daniel Duong Respondent Lawyers(s): Daniel Duong Arbitrator(s): Kenneth E. Owen, June McLaughlin, Jeffrey Dwayne Robertson Hearing Site: Los Angeles, CA | | $466,689 |
| 23-01591 | 08/07/2024 | Claimant(s): Cobra Trading. Claimant Lawyers(s): Craig M. Warner Respondent(s): Judy Reynolds Respondent Lawyers(s): Stanley Q. Casey Arbitrator(s): David Minc Hearing Site: Cleveland, OH | | $67,500 |
| 23-02890 | 08/06/2024 | Claimant(s): Jay Brown Claimant Lawyers(s): George C. Miller Respondent(s): Arete Wealth Management Respondent Lawyers(s): Joshua Rogers Arbitrator(s): Daniel M. Yamshon Hearing Site: San Francisco, CA | ||
| 23-02475 | 08/06/2024 | Claimant(s): Jeffrey McDonald Claimant Lawyers(s): Craig A. Riha Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam Kauff Arbitrator(s): Thomas J. Patka, Marilyn K. Dirks, John Alan Hawke Hearing Site: Tampa, FL |