Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00925 | 12/22/2020 | Claimant(s): Gregg Martinsen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Kevin W. Brooks Arbitrator(s): Tracy L. Allen Hearing Site: Buffalo, NY | $0 | |
| 20-01238 | 12/22/2020 | Claimant(s): Robert Langan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): MML Investors Services Respondent Lawyers(s): Julie E. Ravis Arbitrator(s): David L. Ruderman Hearing Site: Baltimore, MD | $0 | |
| 20-01596 | 12/22/2020 | Claimant(s): Christopher Michalak Claimant Lawyers(s): Brian Luther Respondent(s): Avantax Investment Services. Respondent Lawyers(s): Judith Knudsen Arbitrator(s): William M. Azkoul Hearing Site: Detroit, MI | $0 | |
| 20-02193 | 12/22/2020 | Claimant(s): Jeffrey Karitis Claimant Lawyers(s): Amy B. Bard Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah K. Yates Arbitrator(s): David I. Goldblatt Hearing Site: New York, NY | $0 | |
| 20-02295 | 12/22/2020 | Claimant(s): Jeffrey McCabe Claimant Lawyers(s): Katherine B. Harrison Respondent(s): Equitable Advisors Respondent Lawyers(s): Kevin W, Brooks Arbitrator(s): Gregory P. Szuter Hearing Site: Buffalo, NY | $0 | |
| 19-00140 | 12/22/2020 | Claimant(s): John Laughlin Roth IRA Claimant Lawyers(s): Daniel D'Costa Respondent(s): Portfolio Advisors Alliance Respondent Lawyers(s): Robert M. Bursky Arbitrator(s): James R. Stirn Hearing Site: Washington, DC |  | $15,000 |
| 19-00522 | 12/22/2020 | Claimant(s): Gerald S. Backman 2007 Revocable Trust, Claimant Lawyers(s): Christopher J. Gray Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Joseph Serino Arbitrator(s): Gary M. Landau, Christopher J. Klein, Stephanie Jeannette Charny Hearing Site: Boca Raton, FL | | $90,050 |
| 19-02869 | 12/21/2020 | Claimant(s): Gadberry Financial Group LLC Claimant Lawyers(s): Keith I. Billingsley Respondent(s): Thomas Schallhorn Respondent Lawyers(s): L. Kyle Heffley Arbitrator(s): R Lee Britton, Bill Lamoreaux, David B. Kress Hearing Site: Little Rock, AR | $0 | |
| 20-00735 | 12/21/2020 | Claimant(s): Daniel Shannon Claimant Lawyers(s): Michael A. Gross Respondent(s): M Holdings Securities. Respondent Lawyers(s): Amir Tadjedin Arbitrator(s): Edward R. Niederriter Hearing Site: Boca Raton, FL | $0 | |
| 20-01030 | 12/21/2020 | Claimant(s): John Boukamp Claimant Lawyers(s): Jonathan M. Sterling Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Gerald W. Hepp Hearing Site: Detroit, MI | $0 |