| 17-00545 | 12/21/2017 | Claimant(s): Thomas McInerney
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson, Sean J. Coughlin
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
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| 17-01108 | 12/21/2017 | Claimant(s): William Stafford
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services., Mony Securities Corporation
Respondent Lawyers(s): Bradley Fishman, Hector D. Geribon
Arbitrator(s): Richard J. Stall
Hearing Site: Las Vegas, NV
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| 17-00225 | 12/18/2017 | Claimant(s): Jon Springer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
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| 17-01127 | 12/18/2017 | Claimant(s): Christopher Clark
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Kristen Kinney
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 17-01245 | 12/14/2017 | Claimant(s): Marc Silverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Geneos Wealth Management.
Respondent Lawyers(s): Christina Heller, Michelle M. Atlas
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 17-00727 | 12/11/2017 | Claimant(s): Richard French
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Leslie V. Tepper
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
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| 17-00775 | 12/08/2017 | Claimant(s): Barry Johnson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): G. R. Phelps & Co..
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Diane Ciccone
Hearing Site: Hartford, CT
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| 17-00881 | 12/07/2017 | Claimant(s): Alvin Sanders
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 17-00890 | 12/05/2017 | Claimant(s): Michael Greer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
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| 17-01094 | 12/05/2017 | Claimant(s): Thomas Kelly
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eastbrook Capital Group LLC
Respondent Lawyers(s): Coporate Officer
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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