| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
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| 23-02152 | 11/01/2023 | Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS
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| 22-02981 | 07/20/2023 | Claimant(s): Donald Barry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jason Kempf
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 20-02514 | 05/10/2021 | Claimant(s): Brian Palkowitsh
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors, Transamerica Financial Advisors.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 20-01355 | 11/24/2020 | Claimant(s): Mike Spencer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Charles G. Michaels
Hearing Site: Wichita, KS
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| 20-01365 | 10/29/2020 | Claimant(s): Jeffrey Breault
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Richard A. D' Amura
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 19-01622 | 12/10/2019 | Claimant(s): Thomas Hoover
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Carey, Thomas, Hoover, & Breault.
Respondent Lawyers(s): Thomas Hoover
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 18-04332 | 07/25/2019 | Claimant(s): Steven Baumrucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Eric Chartan
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 16-03277 | 07/28/2017 | Claimant(s): Thomas Kirk
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, W. Preston Martin
Arbitrator(s): Mark S. Foster
Hearing Site: Wichita, KS
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