| 23-01180 | 01/29/2024 | Claimant(s): Devin Garofalo
Claimant Lawyers(s): Devin J. Garofalo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Mike West
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 23-00203 | 12/20/2023 | Claimant(s): Patrick Elmore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth, Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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| 23-00346 | 10/27/2023 | Claimant(s): James LaNeave
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 22-00659 | 01/17/2023 | Claimant(s): James Kinsey
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): LPL Financial LLC, BB&T Investment Services.
Respondent Lawyers(s): Ella Beres, Rochelle Mayfield
Arbitrator(s): Robert T. Allen, Richard James Igou, Jay Jordan
Hearing Site: Charlotte, NC
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| 22-00224 | 11/01/2022 | Claimant(s): Peter Shanahan
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Richard James Igou
Hearing Site: Charlotte, NC
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| 22-00502 | 10/24/2022 | Claimant(s): Carman Hicks
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard James Igou, Charles Robert Moore, S. M. Kernodle-Hodges
Hearing Site: Raleigh, NC
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| 21-00516 | 08/12/2021 | Claimant(s): Jennifer Duncan
Claimant Lawyers(s): Ann Sullivan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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| 20-02795 | 07/30/2021 | Claimant(s): Garland Homes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard James Igou
Hearing Site: Raleigh, NC
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| 18-02393 | 05/28/2021 | Claimant(s): Matthew Mooney, Williams Trading LLC
Claimant Lawyers(s): Matthew Brian Mooney
Respondent(s): David Williams, Michael Manaster
Respondent Lawyers(s): Ethan A. Brecher, Jeffrey H. Gray
Arbitrator(s): Wesley C. Wilson, John Kevin Williams, Richard James Igou
Hearing Site: Richmond, VA
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| 19-03231 | 11/19/2020 | Claimant(s): Alfred Stratford
Claimant Lawyers(s): Scott Holcomb
Respondent(s): Davenport & Company LLC
Respondent Lawyers(s): Kathleen Holman
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
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