| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): James Shafferman
Respondent Lawyers(s): James Frederick Shafferman
Arbitrator(s): Jeffrey Ackermann
Hearing Site: New Orleans, LA
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| 20-00297 | 05/29/2020 | Claimant(s): Theodore Longo
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Brian P. Jakes, Eric M. Schorr
Hearing Site: New Orleans, LA
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| 19-02720 | 03/26/2020 | Claimant(s): Craig Cheramie
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Veronica Cordova
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
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| 19-01174 | 03/25/2020 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kovack Securities Inc, FSC Securities Corporation
Respondent Lawyers(s): Amy S. Towle, James V. Noblett
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
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| 19-01376 | 01/23/2020 | Claimant(s): Michael Boagni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): C. Sumpter Logan
Hearing Site: New Orleans, LA
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| 19-01113 | 12/12/2019 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Pan-American Financial Advisers
Respondent Lawyers(s): Daniel Lagrone, Robert M. Rudnicki
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
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| 19-01080 | 10/31/2019 | Claimant(s): Benjamin Domingue
Claimant Lawyers(s): Michael O'Gara
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
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| 19-00158 | 10/15/2019 | Claimant(s): Aaron Ogea
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Carolyn D. Roch
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
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| 19-00272 | 10/03/2019 | Claimant(s): Lee Henderson
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Simeon B. Reimonenq
Hearing Site: New Orleans, LA
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| 19-00107 | 09/27/2019 | Claimant(s): Gilberto Briseno
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Transamerica Financial Advisors
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
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