Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-03743 | 04/05/2021 | Claimant(s): Gary Ecenbarger Roth IRA, Kathy Ecenbarger Roth IRA, Gary G. Ecenbarger Revocable Trust Claimant Lawyers(s): Michael Hill Respondent(s): H. Beck. Respondent Lawyers(s): Richard A. D'Amura Arbitrator(s): Jeffry M. Bauer, Mark L Miller, Jonathan B. Gilbert Hearing Site: Indianapolis, IN |  | Dismissed by Rule 12206 |
| 20-02390 | 04/02/2021 | Claimant(s): Alan Sharpe Claimant Lawyers(s): Daniel D'Costa Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Tiana M. Towns Arbitrator(s): Richard J. Grahn Hearing Site: Boston, MA | ||
| 20-02709 | 04/02/2021 | Claimant(s): Stephen Bush Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Eleonora Yonge Arbitrator(s): Michael J. Ahlstrom Hearing Site: Charlotte, NC | ||
| 20-00301 | 04/02/2021 | Claimant(s): Kay LaMon Claimant Lawyers(s): Jeff Goodwyn Respondent(s): LPL Financial LLC, Richard Dearinger Respondent Lawyers(s): Michael A. Brady Arbitrator(s): Michael J. Ahlstrom, Stuart K. Furman, Stephen Earl Clark Hearing Site: Columbia, SC | | $0 |
| 20-03523 | 04/02/2021 | Claimant(s): Shannon Sweeney Claimant Lawyers(s): Shannon Sweeney Respondent(s): Acorns Securities Respondent Lawyers(s): Jack M. McNeily Arbitrator(s): Barth Satuloff Hearing Site: San Juan, PR | | $0 |
| 20-02561 | 04/01/2021 | Claimant(s): Bertin Stuckart Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Richard S. Zaifert Hearing Site: Jacksonville, FL | ||
| 20-02891 | 04/01/2021 | Claimant(s): Eric Haubert Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Richard W. Dissen Hearing Site: Columbus, OH | ||
| 20-03252 | 04/01/2021 | Claimant(s): Gregory Katulka Claimant Lawyers(s): Kurt Kalberer Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Deirdre Wolff, Kathryn D. Perreault Arbitrator(s): James C. Hoover Hearing Site: Atlanta, GA | ||
| 20-00980 | 03/31/2021 | Claimant(s): Wendy Buchanan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Edward Jones Respondent Lawyers(s): Darren Goodman Arbitrator(s): Lynne M. Gomez Hearing Site: Houston, TX | ||
| 20-02712 | 03/31/2021 | Claimant(s): Jimmy Barker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): Michael J. Ahlstrom Hearing Site: Nashville, TN |