| 21-02480 | 07/12/2022 | Claimant(s): Hal Finberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 21-01438 | 12/02/2021 | Claimant(s): Williams Butcher
Claimant Lawyers(s): Seth Ian Rubinson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P. Nicholson
Arbitrator(s): Thomas A. Martin, Anita Lynne Wiggins, Jeff Kilgore
Hearing Site: Houston, TX
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| 20-02183 | 01/22/2021 | Claimant(s): Michael Kentor
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Noel Barnes
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 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
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| 19-03802 | 06/26/2020 | Claimant(s): Nicholas Erwin
Claimant Lawyers(s): Therese L. Surprenant
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
| | |
| 17-02679 | 06/10/2019 | Claimant(s): Michael Digaetano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 18-00123 | 09/28/2018 | Claimant(s): Gregory Hester
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Thomas A. Martin
Hearing Site: Oklahoma City, OK
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| 17-02639 | 01/22/2018 | Claimant(s): Kestra Investment Services
Claimant Lawyers(s): Gary S. Kessler
Respondent(s): Chuck Hilliard
Respondent Lawyers(s): Chuck J. Hilliard
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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| 15-03034 | 01/09/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Michael Hopper
Respondent Lawyers(s): Michael Hopper
Arbitrator(s): Thomas A. Martin, Bertrand C. Moser, Stephen T. Johnson
Hearing Site: Houston, TX
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| 16-01858 | 07/21/2017 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Gilbert Rodriguez
Respondent Lawyers(s): Gilbert Anthony Rodriguez
Arbitrator(s): Thomas A. Martin
Hearing Site: Houston, TX
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