| 20-03106 | 04/16/2021 | Claimant(s): George Koulouris
Claimant Lawyers(s): Jennifer P. Farrar
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Halden R. Schwallie
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Syracuse, NY
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| 20-00995 | 12/10/2020 | Claimant(s): Matthew Dauksza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): John James McGovern
Hearing Site: Syracuse, NY
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| 20-00144 | 06/10/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Terrence Diehl
Respondent Lawyers(s): Terrence Jeffrey Diehl
Arbitrator(s): Jim Geiger
Hearing Site: Syracuse, NY
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| 19-02748 | 04/27/2020 | Claimant(s): Michael Hearn
Claimant Lawyers(s): Michael Christopher Hearn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Richard D. Rosenbloom, Robert E. Anderson, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 18-04407 | 10/07/2019 | Claimant(s): Clive Buchan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s):
Hearing Site: Syracuse, NY
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| 18-01672 | 12/14/2018 | Claimant(s): Marc Johnson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Geoff S. Beckham
Arbitrator(s): Ralph L. Halpern
Hearing Site: Syracuse, NY
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| 18-00291 | 08/23/2018 | Claimant(s): John Enright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Jim Geiger
Hearing Site: Syracuse, NY
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| 17-03116 | 05/24/2018 | Claimant(s): Michael Chadwick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
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| 16-00239 | 07/28/2016 | Claimant(s): Edward Jones
Claimant Lawyers(s): Jeffrey T. Kern
Respondent(s): Louis Schafer
Respondent Lawyers(s): Louis Albert Schafer
Arbitrator(s): Robert E. Anderson
Hearing Site: Syracuse, NY
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| 13-01697 | 01/15/2016 | Claimant(s): Jean Marie Hart, Michael Hearn, Genesse Capital Advisors
Claimant Lawyers(s): John E. MacDonald
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David S. Billet, Patrick M. Markey, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
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