| 23-01370 | 12/18/2023 | Claimant(s): Jorge Vielledent
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Kevin W. Brooks
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
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| 20-03552 | 09/24/2021 | Claimant(s): Ian Rodgers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 20-02614 | 05/11/2021 | Claimant(s): Michael Meixler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 19-03430 | 11/05/2020 | Claimant(s): Fred Wagner, Roger Dael, WBI Management LLC
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Gaber
Respondent Lawyers(s): Thomas Werge
Arbitrator(s): Ralph H. Martin, Donald Dreyfus, Ernst Janensch
Hearing Site: Phoenix, AZ
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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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| 17-01749 | 02/15/2019 | Claimant(s): Timothy Ruecker
Claimant Lawyers(s): Henry M Stein
Respondent(s): Jennifer Funke, Patrick Funke
Respondent Lawyers(s): Charles M. Callahan
Arbitrator(s): James M. Rapisarda, Donald Dreyfus, Ernst Janensch
Hearing Site: Phoenix, AZ
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| 16-02691 | 02/06/2018 | Claimant(s): Corbett LaDuke, Matthew Phillips
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): L. Eric Dowell
Arbitrator(s): Donald Dreyfus, John H. Fearnow, Alan Peter Scherer
Hearing Site: Phoenix, AZ
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| 16-03006 | 10/06/2017 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, Investors Capital Corp.
Respondent Lawyers(s): Hector D. Geribon, Jeremy Carr
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
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| 10-04292 | 07/05/2012 | Claimant(s): Jonathan Underkofler
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Cary L. Weissman, Charles R. Berry, Donald Dreyfus
Hearing Site: Phoenix, AZ
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