| 17-00236 | 03/20/2018 | Claimant(s): Mark Eshman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Imperial Capital
Respondent Lawyers(s): Bentley P. Stansbury
Arbitrator(s): Nina Vallion
Hearing Site: Boise, ID
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| 17-01201 | 03/16/2018 | Claimant(s): Alex Papadopoulos
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., LaSalle Financial Services.
Respondent Lawyers(s): Sarah Yates
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
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| 17-01624 | 03/16/2018 | Claimant(s): Mary Wright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Alan S. Brodherson, Nicholas Y. Lin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Denver, CO
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| 17-01708 | 03/15/2018 | Claimant(s): Norman Coates
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Legg Mason Wood Walker, Capital One Investments
Respondent Lawyers(s): Chan Nam, Todd Ratner
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
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| 17-01821 | 03/15/2018 | Claimant(s): Ryan Callaway
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Philip E. Cutler
Hearing Site: Anchorage, AK
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| 17-01800 | 03/13/2018 | Claimant(s): William Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Smith Asset Management.
Respondent Lawyers(s): William B. Smith
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 17-01433 | 03/01/2018 | Claimant(s): Gray Daus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Katherine McGrail
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
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| 17-01977 | 02/27/2018 | Claimant(s): Eric Earnhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dirks & Company.
Respondent Lawyers(s): Jessy Dirks
Arbitrator(s): Brooks White
Hearing Site: New York, NY
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| 17-01506 | 02/26/2018 | Claimant(s): Jarrod Biebel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Michael Naccarato
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
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| 17-01790 | 02/22/2018 | Claimant(s): Noah Levine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
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