| 17-00304 | 10/12/2017 | Claimant(s): Thomas Fields
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff
Arbitrator(s): Neil Harvey Smith
Hearing Site: Nashville, TN
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| 17-00224 | 10/11/2017 | Claimant(s): James Everitt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Herbert Liberman
Hearing Site: Boise, ID
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| 16-03244 | 09/07/2017 | Claimant(s): Craig Ferrantino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Citigroup Global Markets., Next Financial Group.
Respondent Lawyers(s): Angela A. Turiano, David I. Hantman, John T. Unger
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 16-01693 | 02/23/2017 | Claimant(s): Kean Boucher
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel L. McClaren, Anita Rae Shapiro, Tausha C. Riley
Hearing Site: Denver, CO
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| 08-01654 | 12/06/2010 | Claimant(s): Walter Roth
Claimant Lawyers(s): Walter W. Roth
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): David E. Strand
Arbitrator(s): David N. Brainin, Marilyn Chin, Angela M. Morisco
Hearing Site: Newark, NJ
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| 07-02357 | 11/24/2010 | Claimant(s): Brian McCafferty
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, Edward L. Levine, Stephanie M. Miller
Hearing Site: Newark, NJ
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| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
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| 07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Jack Ballard
Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen
Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion
Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey
Hearing Site: San Francisco, CA
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| 08-00693 | 10/20/2009 | Claimant(s): Tara Gutierrez-Maddi
Claimant Lawyers(s): Kirk D. Holman
Respondent(s): Brian Wall, A.G. Edwards & Sons.
Respondent Lawyers(s): Christi Hilker Vaglio, Jeffrey Hanslick
Arbitrator(s): Leah A. Murray, Michael D. Fitzgerald, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
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| 08-00263 | 06/08/2009 | Claimant(s): Lisa Ditkowsky
Claimant Lawyers(s): Kenneth Ditkowsky
Respondent(s): Alan Dubrow, David Forlow, Gary Chesin, Melissa Kelpsch, A.G. Edwards & Sons., Robert Batchen
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Wallace H. Hastings, Thomas S. Wallace, Leon Fox
Hearing Site: Chicago, IL
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