| 20-01242 | 11/17/2020 | Claimant(s): Christopher Tuck
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 19-00395 | 10/21/2020 | Claimant(s): Brian Kennedy, Vincent Catalano
Claimant Lawyers(s): David J. Freniere
Respondent(s): John Dimonda, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Louis P. Wagman, Stephen Samuel Werner
Hearing Site: Philadelphia, PA
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| 19-03202 | 08/19/2020 | Claimant(s): Stephen Chao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 19-03300 | 03/25/2020 | Claimant(s): Terrence Fant
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 18-01977 | 11/01/2019 | Claimant(s): Richard Wesselt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SA Stone Wealth Management Inc.
Respondent Lawyers(s): Craig Hymowitz
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 18-00463 | 01/11/2019 | Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Louis P. Wagman
Hearing Site: Baltimore, MD
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| 17-03091 | 07/27/2018 | Claimant(s): Frank Esposto
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Andrew Gelfand
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 15-02100 | 10/20/2017 | Claimant(s): Folashade Ojediran
Claimant Lawyers(s): Folashade Ojediran
Respondent(s): Edward Rivadeneira, TD Ameritrade.
Respondent Lawyers(s): John Stewart
Arbitrator(s): Elizabeth Gilbert, Howard J. Stiefel, Louis P. Wagman
Hearing Site: New York, NY
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| 15-02589 | 04/26/2017 | Claimant(s): John Shillingford, Mark Leyton
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Leslie Ruth Nydick, Louis P. Wagman, Mark Cuccaro
Hearing Site: New York, NY
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| 12-00788 | 06/11/2013 | Claimant(s): Robert Meyer
Claimant Lawyers(s): Charles J. Uliano
Respondent(s): Edward Moldaver, Morgan Stanley
Respondent Lawyers(s): David Robbins, Kevin B. Walker
Arbitrator(s): Charles A. Crocco, Michael L.B. Kaplan, Louis P. Wagman
Hearing Site: Newark, NJ
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