Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-02428 | 12/16/2020 | Claimant(s): Kestra Financial., Kestra Investment Services Claimant Lawyers(s): Richard A D'Amura Respondent(s): Clyde Ford Respondent Lawyers(s): Clyde Warren Ford Arbitrator(s): Robert D. Sussin Hearing Site: Los Angeles, CA | $0 | |
| 19-02913 | 12/16/2020 | Claimant(s): Maria Redwine Claimant Lawyers(s): William B. Fleming Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Langfred W. White, Karl A. Vogeler, John Winslow Griesser Hearing Site: Columbia, SC |  | $167,294 |
| 20-01203 | 12/15/2020 | Claimant(s): Mark Dolfis Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors Respondent Lawyers(s): Annette K. Ebright Arbitrator(s): Douglas Earl McLaren Hearing Site: Washington, DC | $0 | |
| 20-01441 | 12/15/2020 | Claimant(s): J. Coghlan, Joshua Willard Claimant Lawyers(s): Chad E. Weaver Respondent(s): Securities America. Respondent Lawyers(s): Tyler Schubauer Arbitrator(s): Kevin K. Forrester Hearing Site: San Diego, CA | $0 | |
| 20-01453 | 12/15/2020 | Claimant(s): Christopher Facka Claimant Lawyers(s): Harris Freedman Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Patricia E. Cowart Arbitrator(s): Mark A Bilawsky Hearing Site: Boca Raton, FL | $0 | |
| 20-02773 | 12/15/2020 | Claimant(s): Ross Siegel Claimant Lawyers(s): David I. Hantman Respondent(s): Edward Jones Respondent Lawyers(s): Jonathan Hackbarth Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL | $0 | |
| 17-00102 | 12/15/2020 | Claimant(s): Claimant Lawyers(s): Respondent(s): Ameriprise Financial Services, Li-lin Hsu Respondent Lawyers(s): Chad Weaver, Li-lin Hsu Arbitrator(s): Lois J. Cox, Milton N. Gross, Kendall C. Reed Hearing Site: Los Angeles, CA | | $0 |
| 19-03577 | 12/15/2020 | Claimant(s): Lana Salerno, Robert Kelly Claimant Lawyers(s): Nicholas J. Guiliano Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Joseph J. Dougherty Hearing Site: Philadelphia, PA | | $0 |
| 20-00024 | 12/14/2020 | Claimant(s): Deborah Sandeno Claimant Lawyers(s): F. Chet Taylor Respondent(s): The Oak Ridge Financial Services Group, Respondent Lawyers(s): Lisa M. Lamm Bachman Arbitrator(s): Phyllis Karasov, Paul J. Hennen, Frank Abramson Hearing Site: Minneapolis, MN | $0 | |
| 20-00900 | 12/14/2020 | Claimant(s): James Neuenschwander Claimant Lawyers(s): Dochtor Kennedy Respondent(s): IFG Network Securities. Respondent Lawyers(s): David Feldstein Arbitrator(s): Thomas A. Martin Hearing Site: Houston, TX | $0 |