| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
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| 16-03055 | 06/12/2017 | Claimant(s): Nancy Bello
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
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| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 16-03250 | 06/12/2017 | Claimant(s): Robert Keller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 16-03262 | 06/09/2017 | Claimant(s): Randall Bodner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Christopher J. Klein
Hearing Site: Miami, FL
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| 16-03056 | 06/01/2017 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., H. Beck.
Respondent Lawyers(s): Benjamin Cooper, Francesca M. Lanpher
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Salt Lake City, UT
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| 16-03135 | 06/01/2017 | Claimant(s): Thomas Alessi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Quick & Reilly.
Respondent Lawyers(s): David I. Hantman, Kathryn D. Perreault
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 16-03211 | 06/01/2017 | Claimant(s): Jeffrey Horn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 16-03245 | 05/30/2017 | Claimant(s): John Barrett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Lacy M. Triplett
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Newark, NJ
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| 16-03133 | 05/26/2017 | Claimant(s): Paul McIntyre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
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