| 19-02175 | 02/17/2022 | Claimant(s): Michael Holland
Claimant Lawyers(s): Michael Bessette
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): David K. Montgomery
Arbitrator(s): Joyce A. Mitchell, James Howell Garrison, Stephen Edwin Anderson
Hearing Site: Charlotte, NC
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| 20-00511 | 02/10/2022 | Claimant(s): David Thompson
Claimant Lawyers(s): Brian J. Neville
Respondent(s): TD Private Client Wealth
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn
Hearing Site: Charlotte, NC
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| 20-03094 | 12/02/2021 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Mary E. Woytek
Hearing Site: Charlotte, NC
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| 20-02252 | 08/26/2021 | Claimant(s): James Womack
Claimant Lawyers(s): Michael E. Ciochina
Respondent(s): Luke McKelvy
Respondent Lawyers(s): Connie M. Fickel
Arbitrator(s): Mary E. Woytek, Bruce Wayne Campbell, Victoria Liccione
Hearing Site: Charlotte, NC
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| 20-03804 | 07/19/2021 | Claimant(s): Jonathan Short
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Patricia H. Latham
Hearing Site: Charlotte, NC
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| 20-02942 | 07/01/2021 | Claimant(s): Carol King
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1st Global Capital Corp.
Respondent Lawyers(s): Judith Knudsen
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
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| 20-03989 | 06/10/2021 | Claimant(s): Todd Calamita
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Tiana M. Towns
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 20-01411 | 05/26/2021 | Claimant(s): Edward Tyree, Tammy Hillman
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): RBC Capital Markets LLC, Richard Ruckart
Respondent Lawyers(s): Amanda E. Colvin
Arbitrator(s): Chase Boone Saunders, Richard E. Miley, Kathleen Dooley
Hearing Site: Charlotte, NC
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| 20-02709 | 04/02/2021 | Claimant(s): Stephen Bush
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
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| 19-03049 | 01/19/2021 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Lynne T. Albert
Hearing Site: Charlotte, NC
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