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FINRA Awards for Dochtor Kennedy

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Displaying 1,231-1,240 out of 1,279 results
Case Number Award Date Case Summary Customer Case? Amount Granted
16-0324409/07/2017Claimant(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
17-0017209/05/2017Claimant(s): Thomas Lindia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
16-0350808/30/2017Claimant(s): Daniel McPherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Cetera Advisors LLC, Parkland Securities
Respondent Lawyers(s): David G. Smitham, Denis C. Dice, John McClellan
Arbitrator(s): Bernard F. Vail
Hearing Site: Boise, ID
16-0313808/29/2017Claimant(s): Derek Copeland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Lisa Bass Morris
Hearing Site: Charlotte, NC
16-0325908/29/2017Claimant(s): Paul Stawinski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society Of
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
16-0315908/25/2017Claimant(s): Jeffrey Thoele
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group., The O.N. Equity Sales Company, Walnut Street Securities.
Respondent Lawyers(s): Jeremy Carr, John Unger, Mark E. Elsener
Arbitrator(s): Brett W. Olander
Hearing Site: Minneapolis, MN
16-0309608/22/2017Claimant(s): Stephen Dellelo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities, Next Financial Group.
Respondent Lawyers(s): Eunice Jordan, John T. Unger
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
17-0043608/22/2017Claimant(s): Adam Greenstein
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Kristin Wynne
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
16-0321708/21/2017Claimant(s): Peter Zubizarreta
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kurt T. Kalberer II.
Arbitrator(s): Steven R. Reininger
Hearing Site: Miami, FL
17-0011708/18/2017Claimant(s): Dean Williamson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dickinson & Co.
Respondent Lawyers(s): Nancy Van Hauen
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC

1,279 Results

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