Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 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 | ||
| 23-02829 | 08/06/2024 | Claimant(s): Augustine Choi Claimant Lawyers(s): Peter Lindholm Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Thomas R. Watkins Hearing Site: Los Angeles, CA | ||
| 22-02620 | 08/06/2024 | Claimant(s): Patrick Roth Claimant Lawyers(s): Jeffrey Erez Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Jay Alan Kranis, Regina Waynes Joseph, Bertha Maria Rodriguez Hearing Site: Jersey City, NJ | | Expungement |
| 23-02925 | 08/06/2024 | Claimant(s): Lawrence Napolitano Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Kalos Capital., Parkland Securities Respondent Lawyers(s): Amir Tadjedin, Carol Wildermuth Arbitrator(s): Mark R. Lee Hearing Site: Las Vegas, NV | ||
| 23-01453 | 08/06/2024 | Claimant(s): Jeffery Sorensen Claimant Lawyers(s): Peter Lindholm Respondent(s): Triad Advisors LLC Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Erik R. Siering Hearing Site: Los Angeles, CA |