Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02917 | 05/05/2021 | Claimant(s): Kurt Jackson Claimant Lawyers(s): Frances Menzer Respondent(s): Kestra Investment Services Respondent Lawyers(s): Richard A. D'Amura Arbitrator(s): George L. Tindall Hearing Site: Los Angeles, CA | ||
| 20-03455 | 05/05/2021 | Claimant(s): LPL Financial LLC Claimant Lawyers(s): David J. Sensenig Respondent(s): Joseph Stengel Respondent Lawyers(s): Joseph Steven Stengel Arbitrator(s): Edward W. Morris Hearing Site: Wilmington, DE | ||
| 20-00401 | 05/05/2021 | Claimant(s): Joanne Olson Claimant Lawyers(s): Kirk G. Smith Respondent(s): Wells Fargo Advisors Financial Network Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Jack Chapline Vaughan, Daniel D. Hill, Robert C. Rice Hearing Site: Houston, TX |  | Expungement |
| 20-02370 | 05/04/2021 | Claimant(s): Bret LaPorte Claimant Lawyers(s): Jennifer P. Farrar Respondent(s): Workman Securities Corporation Respondent Lawyers(s): Dana Vietor Arbitrator(s): Mark Stuart Gurevitz Hearing Site: Hartford, CT | ||
| 20-02420 | 05/04/2021 | Claimant(s): Tim Hakes Claimant Lawyers(s): Daniel D'Costa Respondent(s): The O.N Equity Sales Company Respondent Lawyers(s): Mark E. Elsener Arbitrator(s): Brett Coonrod Hearing Site: Kansas City, MO | ||
| 20-02866 | 05/04/2021 | Claimant(s): Gustavo LaGuarda Claimant Lawyers(s): Dochtor Kennedy Respondent(s): BB&T Investment Services. Respondent Lawyers(s): Christina M. Hill Arbitrator(s): Douglas Earl McLaren Hearing Site: Washington, DC | ||
| 20-02989 | 05/04/2021 | Claimant(s): Kerri Jamison Claimant Lawyers(s): Zachary Hayes-Macauluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Renee Bryna Gerstman Hearing Site: Phoenix, AZ | ||
| 20-02385 | 05/03/2021 | Claimant(s): Gregory Reynolds Claimant Lawyers(s): Benjamin Winograd Respondent(s): Foresters Financial Services. Respondent Lawyers(s): Patrick J. Mulligan Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA | ||
| 20-03102 | 05/03/2021 | Claimant(s): Phil Scott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Robert M Stein Hearing Site: Seattle, WA | ||
| 19-02966 | 05/03/2021 | Claimant(s): Christopher Portante, Karen Portante Claimant Lawyers(s): Samuel Edwards Respondent(s): Money Concepts Capital Corp Respondent Lawyers(s): Kathy M. Klock Arbitrator(s): Earle J. Schwarz, James Edward Seale, Geraldine R Daniels Hearing Site: Birmingham, AL | | Expungement |