| 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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| 23-00584 | 09/25/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
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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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| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
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| 21-02558 | 05/11/2022 | Claimant(s): Brian Parker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Julie E. Ravis
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
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| 21-02047 | 03/21/2022 | Claimant(s): Gurveer Mann
Claimant Lawyers(s): Zachary Morse
Respondent(s): Signator Investors.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Carl E. Ver Beek
Hearing Site: Detroit, MI
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| 20-03130 | 08/19/2021 | Claimant(s): Jane Marie Sullivan
Claimant Lawyers(s): Zachary Morse
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-03692 | 08/02/2021 | Claimant(s): Chi-Hong Chu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Anderson
Hearing Site: Jersey City, NJ
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| 20-03144 | 07/30/2021 | Claimant(s): Garyn Angel
Claimant Lawyers(s): Joshua A Katz
Respondent(s): Invest Financial Corporation, Transamerica Financial Advisors
Respondent Lawyers(s): Eric A. Michaels, Susan D. Duff
Arbitrator(s): Richard S. Zaifert
Hearing Site: Tampa, FL
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| 20-02963 | 06/14/2021 | Claimant(s): Shannon Klug
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Hantz Financial Services.
Respondent Lawyers(s): David J. Shea, Eric A. Michaels
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
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