| 22-02741 | 08/24/2023 | Claimant(s): Eric Dade
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Concourse Financial Group Securities, In
Respondent Lawyers(s): Destinee Campbell Small
Arbitrator(s): James Michael Belk
Hearing Site: Charlotte, NC
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| 22-02748 | 08/23/2023 | Claimant(s): Frederick Kort
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 22-02754 | 08/15/2023 | Claimant(s): James Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Capitol Securities Management.
Respondent Lawyers(s): David J. Freniere, Laura A. Pizzitola
Arbitrator(s): Veronica Ann Williams
Hearing Site: Jersey City, NJ
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| 22-02086 | 08/10/2023 | Claimant(s): Ryan Jensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
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| 22-02082 | 08/10/2023 | Claimant(s): David Prewette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SA Stone Wealth Management Inc.
Respondent Lawyers(s): Andrew R. Chambless
Arbitrator(s): Barbara Black
Hearing Site: Atlanta, GA
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| 23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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| 20-03018 | 08/03/2023 | Claimant(s): Kevin Fay
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
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| 22-02136 | 07/25/2023 | Claimant(s): Kenneth Kondas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Huntington Investment Company
Respondent Lawyers(s): Paul R. Harris
Arbitrator(s): Robert J. Scafuri
Hearing Site: Pittsburgh, PA
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| 22-02990 | 07/25/2023 | Claimant(s): Adam Udy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Las Vegas, NV
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| 22-02663 | 07/24/2023 | Claimant(s): Danny Kamal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Deirdre Wolff, Laura A. Pizzitola
Arbitrator(s): Larry Mims
Hearing Site: Atlanta, GA
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