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 | ||
| 21-01061 | 10/25/2022 | Claimant(s): Betty Cole, Dale Cole, Betty Cole IRAs, Dale Cole IRAs, Betty Cole Trusts, Dale Cole Trusts Claimant Lawyers(s): David M. Black Respondent(s): Carl Gill Respondent Lawyers(s): Daniel Rucker Arbitrator(s): Jeffry M. Bauer, Martin Brosnan, Sandra Franklin Hearing Site: Detroit, MI |  | Expungement |
| 21-02847 | 10/25/2022 | Claimant(s): Sean Barker Claimant Lawyers(s): Alexander Darr Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Frank Cuccio Arbitrator(s): Samuel H. Chorches, John W. Eichleay, Edward W. Morris Hearing Site: Augusta, ME | | $0 |
| 21-02239 | 10/24/2022 | Claimant(s): Walter Helms Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M Holdings Securities. Respondent Lawyers(s): Amir Tadjedin Arbitrator(s): Mollie Wagner Neal Hearing Site: Atlanta, GA | ||
| 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 | ||
| 22-00502 | 10/24/2022 | Claimant(s): Carman Hicks Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Richard James Igou, Charles Robert Moore, S. M. Kernodle-Hodges Hearing Site: Raleigh, NC | ||
| 22-00169 | 10/24/2022 | Claimant(s): David Gray Claimant Lawyers(s): Courtney Werning Respondent(s): Triad Advisors LLC Respondent Lawyers(s): James A. McGovern Arbitrator(s): Richard R. Logsdon, Meeta Alberta Bass, Karen Santiago Hearing Site: Jacksonville, FL | | Dismissed by Rule 12206 |
| 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 | ||
| 21-02578 | 10/21/2022 | Claimant(s): Jeffrey Blum Claimant Lawyers(s): Samantha Pastor Respondent(s): Morgan Stanley Respondent Lawyers(s): Tracy L. Gerber Arbitrator(s): Barry David Thorpe Hearing Site: Boca Raton, FL | ||
| 22-01011 | 10/21/2022 | Claimant(s): James Leo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PNC Brokerage Corp Respondent Lawyers(s): Angelina T. Evans Arbitrator(s): Edith M. Novack Hearing Site: Jersey City, NJ |