Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-00274 | 07/22/2022 | Claimant(s): Cambridge Investment Research. Claimant Lawyers(s): Jeanette Dennis Respondent(s): Nicola DiPaolo Respondent Lawyers(s): Nicola DiPaolo Arbitrator(s): Langfred W. White Hearing Site: Nashville, TN | ||
| 22-00435 | 07/22/2022 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): Neil S. Baritz Respondent(s): Donald Heitz Respondent Lawyers(s): Donald Leon Heitz Arbitrator(s): Langfred W. White Hearing Site: Jacksonville, FL | ||
| 21-02665 | 07/22/2022 | Claimant(s): Joseph Petri Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Laura Ruiz Rivera Arbitrator(s): Diane M. Perry, Robin Inez Willner, Erika-Rae M Harvey Hearing Site: Boca Raton, FL |  | Dismissed by Rule 12200 |
| 19-01334 | 07/22/2022 | Claimant(s): Christopher Pechock Claimant Lawyers(s): Christopher Gray Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Catherine Stewart, Graham Daw, Sylvia Kaminsky Hearing Site: Jersey City, NJ | | $0 |
| 22-00136 | 07/22/2022 | Claimant(s): Zachary Pannell Claimant Lawyers(s): Zachary Pannell Respondent(s): TD Ameritrade. Respondent Lawyers(s): Jennifer A. Stevens Arbitrator(s): Karen Roberts Washington Hearing Site: Dallas, TX | | $0 |
| 21-02165 | 07/21/2022 | Claimant(s): Scott Morris Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan W. Hackbarth Arbitrator(s): Robert J. Gregory Hearing Site: Kansas City, MO | ||
| 21-02586 | 07/21/2022 | Claimant(s): Christopher Tooker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Kathryn D. Perreault Arbitrator(s): Donald N. Tolin Hearing Site: Omaha, NE | ||
| 20-03507 | 07/21/2022 | Claimant(s): James Stege Claimant Lawyers(s): Kristian Kraszewski Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): John P. Cullem Hearing Site: Jacksonville, FL | | Expungement |
| 20-03829 | 07/21/2022 | Claimant(s): Rahul Deepankar Claimant Lawyers(s): Richard B. Fosher Respondent(s): National Securities Corporation Respondent Lawyers(s): Fred N. Knopf Arbitrator(s): Stuart D. Summers, Daniel R. Formeller, Philip J. Glick Hearing Site: Chicago, IL | | Expungement |
| 21-02663 | 07/20/2022 | Claimant(s): Daniel Mercer Claimant Lawyers(s): Daniel Aaron Mercer Respondent(s): Raymond James Financial Services. Respondent Lawyers(s): Laura T. Ruiz Rivera Arbitrator(s): Stephen T. Johnson, Brian James Tagtmeier, Katherine Parsley Hearing Site: Houston, TX |