| 21-00221 | 11/24/2021 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Peter A. Goldman
Hearing Site: Albany, NY
| | |
| 20-04111 | 07/07/2021 | Claimant(s): Jason Kurchner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): M Holdings Securities.
Respondent Lawyers(s): Stephanie Palimino
Arbitrator(s): Kathleen Hoey Gorr
Hearing Site: Albany, NY
| | |
| 20-02513 | 03/26/2021 | Claimant(s): Steven Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Johan E. Tatoy
Arbitrator(s): Denise L. Quarles
Hearing Site: Albany, NY
| | |
| 19-01454 | 01/02/2020 | Claimant(s): Todd Silaika
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sara K. Yates
Arbitrator(s): Alice E. Winkler
Hearing Site: Albany, NY
| | |
| 19-00152 | 08/26/2019 | Claimant(s): David Keator
Claimant Lawyers(s): Peter F Flynn
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Martin A. Edelstein
Hearing Site: Albany, NY
| | |
| 19-00399 | 07/11/2019 | Claimant(s): Lawrence King
Claimant Lawyers(s): Mark T Walsh
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): David R. Foley
Hearing Site: Albany, NY
| | |
| 17-01129 | 02/05/2018 | Claimant(s): Leonard Valletta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Pamela H. Roderick
Hearing Site: Albany, NY
| | |
| 17-01758 | 11/30/2017 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kean Bouplon
Respondent Lawyers(s): Kean Lynn Bouplon
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
| | |
| 14-03853 | 11/15/2016 | Claimant(s): Joseph Ventura, William Tell Services
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Daniel Mccarty, Richard Pombo, Steven Mannato, Steven Yezzo
Respondent Lawyers(s): Laurie Styka Bloom, Matthew D. Wagoner
Arbitrator(s): Martin Jay Siegel, Timothy A Meigher, Katherine Levitan
Hearing Site: Albany, NY
| | |
| 09-05466 | 12/14/2015 | Claimant(s): Michael Chrys
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Anthony Dinallo, Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): George F. Adams, Kenneth Dymond, John Carl Cirincion
Hearing Site: Albany, NY
| | |
