| 22-00543 | 10/14/2022 | Claimant(s): Joseph Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kelsey Vasko
Arbitrator(s): Jim Geiger
Hearing Site: Louisville, KY
| | |
| 20-02735 | 04/15/2022 | Claimant(s): Steven McGarrity
Claimant Lawyers(s): Alan E. Cech
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey Sturgeon
Arbitrator(s): Jim Geiger, Linda Arlene Michler, Frank C. Botta
Hearing Site: Pittsburgh, PA
| | |
| 21-03049 | 04/11/2022 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Gretchen Mary Wallace
Respondent Lawyers(s): Gretchen Mary Thies Wallace
Arbitrator(s): Jim Geiger
Hearing Site: Providence, RI
| | |
| 20-00518 | 02/11/2022 | Claimant(s): Brok-Alan Woodward-Griffith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
| 21-00536 | 01/07/2022 | Claimant(s): Richard Hellberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Hornor, Townsend & Kent
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | |
| 21-00514 | 11/23/2021 | Claimant(s): Matthew Champion
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jason Snyder
Arbitrator(s): Jim Geiger, Thomas E. Webb, Francis Xavior Daumen
Hearing Site: Syracuse, NY
| | |
| 20-00870 | 11/01/2021 | Claimant(s): Timothy Hourihan
Claimant Lawyers(s): Francis D. Dibble
Respondent(s): Dorene Mulholland, Voya Financial Partners, Voya Retirement Ins.and Annuity Co.
Respondent Lawyers(s): Brian J. Palmeri
Arbitrator(s): Jim Geiger, Mae A. Brudner, Franklin Sariel Schwerin
Hearing Site: Hartford, CT
| | |
| 20-01594 | 09/20/2021 | Claimant(s): Brandon Cheshier
Claimant Lawyers(s): Danilo Borgas
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Brenna Anatone Force
Arbitrator(s): Jim Geiger, Robert L. Chase, John C Solomon
Hearing Site: Providence, RI
| | |
| 20-02378 | 07/22/2021 | Claimant(s): Bret Laporte
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Jim Geiger
Hearing Site: Hartford, CT
| | |
| 20-02741 | 07/06/2021 | Claimant(s): Richard Iannacone
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
