Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02730 | 07/07/2021 | Claimant(s): Everest Wong Claimant Lawyers(s): Chelsea Masters Respondent(s): Citicorp Investment Services Respondent Lawyers(s): Adam Kauff Arbitrator(s): Ann Elizabeth Sarli Hearing Site: San Francisco, CA | ||
| 20-04111 | 07/07/2021 | Claimant(s): Jason Kurchner Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M Holdings Securities. Respondent Lawyers(s): Stephanie Palimino Arbitrator(s): Kathleen Hoey Gorr Hearing Site: Albany, NY | ||
| 20-04128 | 07/07/2021 | Claimant(s): Jeffrey Elman Claimant Lawyers(s): Brandon M. Taaffe Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Edward J. Heffernan Arbitrator(s): Michael L. Fortney Hearing Site: Cleveland, OH | ||
| 21-00039 | 07/07/2021 | Claimant(s): Richard Swider Claimant Lawyers(s): Dochtor Kennedy Respondent(s): M Holdings Securities. Respondent Lawyers(s): Casey Dougherty, CCO Arbitrator(s): Leon Fox Hearing Site: Milwaukee, WI | ||
| 17-03201 | 07/06/2021 | Claimant(s): Curtis Broom, Joseph Moore Claimant Lawyers(s): Andrew Allen Respondent(s): AXA Advisors, AXA Network LLC Respondent Lawyers(s): Matthew I. Penfield Arbitrator(s): Fern H Singer Hearing Site: Birmingham, AL | ||
| 20-02741 | 07/06/2021 | Claimant(s): Richard Iannacone Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A. G. Edwards & Sons. Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Jim Geiger Hearing Site: Manchester, NH | ||
| 20-02995 | 07/06/2021 | Claimant(s): Bin Zhai Claimant Lawyers(s): Chelsea Masters Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): Helen Marinak Blohm Hearing Site: San Francisco, CA | ||
| 20-02996 | 07/06/2021 | Claimant(s): Daniel Steichen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Sara B. Davis Arbitrator(s): Tracy L. Allen Hearing Site: Minneapolis, MN | ||
| 20-03011 | 07/06/2021 | Claimant(s): Brice Redmond Claimant Lawyers(s): Erika C. Binnix Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Andrew M. Mintzer Hearing Site: Los Angeles, CA | ||
| 20-03440 | 07/06/2021 | Claimant(s): Andrew Ruboyianes Claimant Lawyers(s): Robert D. Mitchell Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Murphy Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz Hearing Site: Phoenix, AZ |