Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01053 | 02/24/2021 | Claimant(s): Christine Tang Claimant Lawyers(s): Chelsea Masters Respondent(s): First Allied Securities. Respondent Lawyers(s): Jeremy Wooden Arbitrator(s): Benjamin F. Breslauer Hearing Site: Los Angeles, CA | ||
| 20-02477 | 02/24/2021 | Claimant(s): Timothy Davis Claimant Lawyers(s): Stephan Louviere Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Omar Perez Arbitrator(s): Robert J. Ambrogi Hearing Site: Boston, MA | ||
| 20-02582 | 02/24/2021 | Claimant(s): Jeffrey Heinel Claimant Lawyers(s): Joel Wertman Respondent(s): The Investment Center. Respondent Lawyers(s): Douglas A. Wright Arbitrator(s): Dean L. Scarpa, Gregory J. Spadea Hearing Site: Philadelphia, PA | ||
| 20-01019 | 02/24/2021 | Claimant(s): Henry Stern as Trustee Claimant Lawyers(s): Edward H. Glenn Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Nuviah Shirazi Arbitrator(s): Leslie L. Cooney, Paul J. Burkhart, Margo Denise Wright Hearing Site: Boca Raton, FL |  | Expungement |
| 20-01541 | 02/24/2021 | Claimant(s): Francis Hayden Claimant Lawyers(s): Gregory L. Smith Respondent(s): GWFS Equities. Respondent Lawyers(s): Ryan R. Baker Arbitrator(s): Jim Geiger Hearing Site: Louisville, KY | | $300 |
| 20-03541 | 02/24/2021 | Claimant(s): Peter Nalewajk Claimant Lawyers(s): Peter Nalewajk Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Robert Titus Hearing Site: Providence, RI | | $2,228 |
| 19-03385 | 02/23/2021 | Claimant(s): NewBridge Securities Corp. Claimant Lawyers(s): Gregg J. Breitbart Respondent(s): Gaetano Magarelli Respondent Lawyers(s): Gaetano Magarelli Arbitrator(s): Herbert Branitsky Hearing Site: Boca Raton, FL | ||
| 20-00493 | 02/23/2021 | Claimant(s): Gerald Taylor Claimant Lawyers(s): Michael Bessette Respondent(s): Summit Brokerage Services. Respondent Lawyers(s): Steven E. Mellen Arbitrator(s): Tracy L. Allen Hearing Site: Detroit, MI | ||
| 20-01412 | 02/23/2021 | Claimant(s): Amy Boyet Besse Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Rainmaker Securities Respondent Lawyers(s): Dominic Cioffi Arbitrator(s): Tracy L. Allen Hearing Site: St. Louis, MO | ||
| 20-01779 | 02/23/2021 | Claimant(s): Kevin Piker Claimant Lawyers(s): Dochtor Kennedy Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Tiana M Towns Arbitrator(s): Maxel (Bud) B Silverberg Hearing Site: Kansas City, MO |