| 23-02802 | 03/28/2024 | Claimant(s): Edward Maynard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Kristina J. Branstetter
Arbitrator(s): Joseph V. Simeri
Hearing Site: Cincinnati, OH
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| 23-01609 | 03/22/2024 | Claimant(s): Dawne Ferland
Claimant Lawyers(s): Louis H. Miron
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Barry Goldman, Kyle E Higgason, John G Banner
Hearing Site: Cincinnati, OH
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| 22-01572 | 03/13/2024 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Erika Murdoch
Respondent(s): Daryl Demo, Michael Quin, DayMark Wealth Partners
Respondent Lawyers(s): Mathew Plant
Arbitrator(s): Lawrence W. Arness, Harlita R. Tomlinson, Robert Roth Sparks
Hearing Site: Cincinnati, OH
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| 23-01368 | 01/23/2024 | Claimant(s): William Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company.
Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
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| 22-02941 | 07/11/2023 | Claimant(s): William Mitchell
Claimant Lawyers(s): Nathan W. Lamb
Respondent(s): Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Robert David Epstein
Hearing Site: Cincinnati, OH
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| 22-00167 | 11/07/2022 | Claimant(s): John Schmidt
Claimant Lawyers(s): John Gregory Schmidt
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Stephen P. Calardo, Gary B. Deutsch, Joseph Patrick Cottingham
Hearing Site: Cincinnati, OH
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| 19-03654 | 11/15/2021 | Claimant(s): Clinton Rinehart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
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| 20-01826 | 08/06/2021 | Claimant(s): Jonathan Hoelscher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Harlita R. Tomlinson
Hearing Site: Cincinnati, OH
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| 20-00013 | 07/02/2021 | Claimant(s): Mark Black
Claimant Lawyers(s): Victor Bayata
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Sharon R. Merriman, Pamela K. Ginsburg, David Winchester Peck
Hearing Site: Cincinnati, OH
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| 20-02971 | 06/21/2021 | Claimant(s): Jonathan Hlavac
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Proequities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Stephen P. Calardo
Hearing Site: Cincinnati, OH
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