| 20-00973 | 11/10/2020 | Claimant(s): Brian Bogart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David Purcell
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
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| 19-03165 | 11/09/2020 | Claimant(s): Christopher Prassas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pershing LLC, Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Deborah Burstein, Joan Schwartz
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 20-01005 | 11/09/2020 | Claimant(s): Brad Lawing
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): C. Sumpter Logan
Hearing Site: Kansas City, MO
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| 20-01105 | 11/09/2020 | Claimant(s): Steven Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
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| 20-00612 | 11/06/2020 | Claimant(s): Adam Rorrer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph A. Sack
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
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| 20-00375 | 11/05/2020 | Claimant(s): Lindsey Burik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Corey D. Winer
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 20-01254 | 11/05/2020 | Claimant(s): Heikki von Hellens
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Annie Zaffuto
Arbitrator(s): John P. Cullem
Hearing Site: Jacksonville, FL
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| 20-01109 | 11/04/2020 | Claimant(s): Steven Adams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Donald Dreyfus
Hearing Site: Salt Lake City, UT
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| 20-01364 | 11/04/2020 | Claimant(s): Thomas Hamlin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Timothy W. Snider
Arbitrator(s): David William Hickman
Hearing Site: Portland, OR
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| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
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