Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 19-01888 | 05/18/2021 | Claimant(s): Amy Toliver, Cynthia Toliver, Janet Narduzzi Claimant Lawyers(s): Stephen C. Mouritsen Respondent(s): John Arnold, AXA Advisors Respondent Lawyers(s): Daniela Paez, Nancy L. Hendrickson Arbitrator(s): Jay H. Feldstein, David S. Eisenberg, Kenneth L. Mann Hearing Site: Phoenix, AZ |  | Expungement |
| 20-02693 | 05/17/2021 | Claimant(s): Travis Jennings Claimant Lawyers(s): Harris Freedman Respondent(s): Dempsey Lord Smith Respondent Lawyers(s): Joel R. Beck Arbitrator(s): Martin M. Van Luven Hearing Site: Tampa, FL | ||
| 20-03040 | 05/17/2021 | Claimant(s): Joseph Sturniolo Claimant Lawyers(s): Michael Bessette Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 21-00099 | 05/17/2021 | Claimant(s): Sanjay Chandra Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Tpeg Securities Respondent Lawyers(s): Daniel S. Meader, Executive Rep. Arbitrator(s): Frances Johnson Wright Hearing Site: Dallas, TX | ||
| 19-03556 | 05/17/2021 | Claimant(s): Donna Wagner Claimant Lawyers(s): Mark E. Maddox Respondent(s): Mark Perry, Brokers International Financial Services Respondent Lawyers(s): Connie M. Fickel Arbitrator(s): Lynn Hirschfeld Brahin, Robert David Epstein, Natalie R Dickey Hearing Site: Indianapolis, IN | | $795,929 |
| 20-01361 | 05/14/2021 | Claimant(s): Coastal Equities. Claimant Lawyers(s): Francis Skinner Respondent(s): Sam Aziz Respondent Lawyers(s): Robert J. Beggs Arbitrator(s): Robert J. Scafuri, Ross Tulman, Nelson E. Genshaft Hearing Site: Columbus, OH | ||
| 20-02104 | 05/14/2021 | Claimant(s): James Shoffner Claimant Lawyers(s): Zachary Hayes-Macaluso Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John B. Clark Arbitrator(s): Milton N. Gross Hearing Site: Denver, CO | ||
| 20-02180 | 05/14/2021 | Claimant(s): Leigh Jeter Stanford Claimant Lawyers(s): Benjamin Winograd Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): David J. Romanski Hearing Site: San Francisco, CA | ||
| 20-02695 | 05/14/2021 | Claimant(s): Todd Trusso Claimant Lawyers(s): Harris Freedman Respondent(s): Pruco Securities. Respondent Lawyers(s): Jennifer E. Novolesky Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 20-02721 | 05/14/2021 | Claimant(s): Norman Robertson Claimant Lawyers(s): Frances Menzer Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeffrey P. Palmer Arbitrator(s): George L. Tindall Hearing Site: Los Angeles, CA |