Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 23-00027 | 04/12/2024 | Claimant(s): McNaught Family Irrevocable Trust, Sharon Coan, Trustee Claimant Lawyers(s): R. Sean McDonald Respondent(s): Chad Carroll, Edward Jones Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): John Kenneth Popham Hearing Site: Dallas, TX |  | Expungement |
| 21-02824 | 04/12/2024 | Claimant(s): Charlie Meredith Claimant Lawyers(s): David A. Welling Respondent(s): Morgan Stanley, Morgan Stanley & Co. Respondent Lawyers(s): John P. Kincade Arbitrator(s): Mark R. Lee, Gene S. Evenskaas, Randall B Christison Hearing Site: San Diego, CA | | Expungement |
| 23-01057 | 04/12/2024 | Claimant(s): Michael Lombardi Claimant Lawyers(s): Alan S. Baskin Respondent(s): David Sherwood, Greenberg Financial Group Respondent Lawyers(s): Rachel K. Douglas Arbitrator(s): Richard Kent Mahrle Hearing Site: Phoenix, AZ | | $102,559 |
| 23-02872 | 04/12/2024 | Claimant(s): David Peyser Claimant Lawyers(s): Stephan Louviere Respondent(s): PNC Investments Respondent Lawyers(s): Robert S. Whitman Arbitrator(s): Michael H DuBoff Hearing Site: Jersey City, NJ | ||
| 23-02514 | 04/12/2024 | Claimant(s): Marcia Hardy Claimant Lawyers(s): Marcia L. Hardy Respondent(s): Abacus Investments. Respondent Lawyers(s): Frederick E. Hohensee Arbitrator(s): Lynn Hirschfeld Brahin Hearing Site: Chicago, IL | | $0 |
| 23-01382 | 04/11/2024 | Claimant(s): Gregory Benner Claimant Lawyers(s): Peter Lindholm Respondent(s): Chase Investment Services Corp. Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): Theodore W. Wrobleski Hearing Site: Chicago, IL | ||
| 23-01090 | 04/11/2024 | Claimant(s): Barry Kiront Claimant Lawyers(s): John Stewart Respondent(s): Monroe Parker Securities., Woodstock Financial Group. Respondent Lawyers(s): Alan Lipsky, William J. Raike Arbitrator(s): Veronica Ann Williams Hearing Site: New York, NY | ||
| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Advisors Asset Management. Respondent Lawyers(s): Kevin B. Walker Arbitrator(s): Jim Geiger Hearing Site: Columbus, OH | ||
| 23-02772 | 04/11/2024 | Claimant(s): Inderpal Anand Claimant Lawyers(s): James P. Galvin Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY | ||
| 23-01414 | 04/10/2024 | Claimant(s): Frank Briseno, III Claimant Lawyers(s): Dochtor Kennedy Respondent(s): FSC Securities Corporation Respondent Lawyers(s): Jennifer R. Cox Arbitrator(s): Lynne M. Gomez Hearing Site: New Orleans, LA |