Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03539 | 01/23/2023 | Claimant(s): Alan Niemann Claimant Lawyers(s): William D. Kellen Respondent(s): Brian Heapps Respondent Lawyers(s): Spencer Smith Arbitrator(s): Dennis S. Boxeur, Mark C Watler, Diane Shafer Goldschmidt Hearing Site: Oklahoma City, OK | ||
| 22-00500 | 01/23/2023 | Claimant(s): Hai Xu Claimant Lawyers(s): Marc D Schifanelli Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Jeffrey Axelrad Hearing Site: Baltimore, MD | ||
| 22-00805 | 01/23/2023 | Claimant(s): Steven Rose Claimant Lawyers(s): Jeffrey Thomas Respondent(s): LPL Financial LLC Respondent Lawyers(s): Rochelle Mayfield Arbitrator(s): Laurel Littman Gothelf, Bradley C. Mitchell, Clifford A. Threlkeld Hearing Site: Reno, NV | ||
| 22-00912 | 01/23/2023 | Claimant(s): John Hess Claimant Lawyers(s): Dochtor Kennedy Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Thomas J. Cahill Arbitrator(s): Roger M. Deitz Hearing Site: New York, NY | ||
| 22-01857 | 01/23/2023 | Claimant(s): Kareem Foreman Claimant Lawyers(s): Kareem Foreman Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Joelle A. Simms Arbitrator(s): Mark C. Perry Hearing Site: Boca Raton, FL |  | $0 |
| 22-01072 | 01/20/2023 | Claimant(s): Jan Dyke Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Amanda Parisi Arbitrator(s): Michael F. Jordan Hearing Site: Milwaukee, WI | ||
| 22-01630 | 01/20/2023 | Claimant(s): Adam Epstein Claimant Lawyers(s): David I. Hantman Respondent(s): UBS Financial Services Inc., Sanford C. Bernstein & Co. Respondent Lawyers(s): Eric A. Bensky, Omar Perez Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY | ||
| 20-02503 | 01/20/2023 | Claimant(s): Alison Barrett, Robert Barrett Claimant Lawyers(s): Robert D Mitchell Respondent(s): Morgan Stanley, Kyle Backus Respondent Lawyers(s): Suzette J. Barnes Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz Hearing Site: Phoenix, AZ | | Expungement |
| 22-01681 | 01/19/2023 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Michael E. Rowe Respondent(s): Brian Wurdemann Respondent Lawyers(s): Brian M. Wurdemann Arbitrator(s): Michael H DuBoff Hearing Site: New York, NY | ||
| 22-01830 | 01/19/2023 | Claimant(s): Keren Jeanfort and Fortuno Jeanfort Claimant Lawyers(s): Keren Jeanfort Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Barry David Thorpe Hearing Site: Boca Raton, FL | | $0 |