Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02117 | 01/15/2021 | Claimant(s): Timothy Lofton Claimant Lawyers(s): Brian Luther Respondent(s): Wells Fargo Advisors Financial Network, UBS Financial Services Inc. Respondent Lawyers(s): Deirdre Wolff, Omar Perez Arbitrator(s): John C. Aten Hearing Site: Cincinnati, OH | $0 | |
| 20-02262 | 01/15/2021 | Claimant(s): Gerald Hast Claimant Lawyers(s): James P. Galvin Respondent(s): Pro-Integrity Securities. Respondent Lawyers(s): William Perry Arbitrator(s): Jeff Abrams Hearing Site: Dallas, TX | $0 | |
| 20-03032 | 01/15/2021 | Claimant(s): Mahesh Desai Claimant Lawyers(s): Mahesh Desai Respondent(s): Msi Financial Services. Respondent Lawyers(s): Martin Harris Arbitrator(s): Robert C. Rice Hearing Site: Houston, TX | $0 | |
| 20-01712 | 01/14/2021 | Claimant(s): Brian Kasal Claimant Lawyers(s): Joshua Kons Respondent(s): Morgan Stanley, William Blair & Company L.L.C. Respondent Lawyers(s): Andrew Gelfand, Esq., Christopher D. Seps Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL | $0 | |
| 20-01789 | 01/14/2021 | Claimant(s): Kyle Stone Claimant Lawyers(s): Gregory B. Simon Respondent(s): Edward Jones Respondent Lawyers(s): Annie Zaffuto Arbitrator(s): Leonard Arthur Nelson Hearing Site: Chicago, IL | $0 | |
| 20-02042 | 01/14/2021 | Claimant(s): Thomas McWilliams Claimant Lawyers(s): Michael T. Gass Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Adam M. Weaver Arbitrator(s): Jim Geiger, Patrick W. McKeon, John James McGovern Hearing Site: Manchester, NH | $0 | |
| 20-02329 | 01/14/2021 | Claimant(s): Leo Rodriguez Claimant Lawyers(s): Robert L. Herskovits Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Julie L. Taylor Arbitrator(s): Patricia Beaujean Lehtola Hearing Site: Dallas, TX | $0 | |
| 20-01328 | 01/13/2021 | Claimant(s): Gary Tangwall Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Jeffrey A. Ziesman Arbitrator(s): Leonard Arthur Nelson Hearing Site: Minneapolis, MN | $0 | |
| 20-01426 | 01/13/2021 | Claimant(s): James Dy Claimant Lawyers(s): Dochtor Kennedy Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Robert E. Anderson Hearing Site: Jersey City, NJ | $0 | |
| 20-02062 | 01/13/2021 | Claimant(s): Francisco Almada Claimant Lawyers(s): Christopher Warren Respondent(s): Union Capital Company Respondent Lawyers(s): Joseph Bodkin Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ | $0 |