| 23-01419 | 04/05/2024 | Claimant(s): Thomas Mccausland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., RBC Capital Markets LLC
Respondent Lawyers(s): Adam M. Kauff, Samuel F.B. Audley
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 21-00345 | 02/07/2024 | Claimant(s): David Ingle
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 23-01819 | 12/22/2023 | Claimant(s): Jessica Peabody
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Justin E. Condit
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 23-01346 | 12/01/2023 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 23-00598 | 09/26/2023 | Claimant(s): Aaron Gordon
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Walter Steven Schwartz, Jason Robinson, John F Mencer
Hearing Site: Phoenix, AZ
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| 23-00121 | 09/01/2023 | Claimant(s): James Small
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Royetta M. Jones, Walter Steven Schwartz, Nancy Lynn Boyd
Hearing Site: Las Vegas, NV
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| 22-02990 | 07/25/2023 | Claimant(s): Adam Udy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Las Vegas, NV
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| 22-01665 | 03/16/2023 | Claimant(s): Henry Gallardo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp., Securian Financial Services.
Respondent Lawyers(s): David Feldstein, Lisa Stopfer
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 21-02325 | 06/03/2022 | Claimant(s): Travis McGann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie I. Holder
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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