22-00738 | 12/08/2022 | Claimant(s): Anthony Kayser Claimant Lawyers(s): Dochtor Kennedy Respondent(s): PFS Investments Inc. Respondent Lawyers(s): Daniel A. Woodring, EVP/CEO Arbitrator(s): Philip J. Glick Hearing Site: Omaha, NE
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22-01250 | 12/08/2022 | Claimant(s): Richard Grund Claimant Lawyers(s): Brian Luther Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Peter Wheeler Arbitrator(s): Layne Verebay, Eric Mealus Hearing Site: Boca Raton, FL
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22-00828 | 12/07/2022 | Claimant(s): Richard Whalen Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Carrington Investment Services Respondent Lawyers(s): Karl E. May Arbitrator(s): Annamaria Boccia Smith Hearing Site: New York, NY
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22-00947 | 12/07/2022 | Claimant(s): Thomas Freeman Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Laura A. Pizzitola Arbitrator(s): David A. Schuler Hearing Site: Kansas City, MO
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22-01013 | 12/07/2022 | Claimant(s): James Leo Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Summit Financial Services Group. Respondent Lawyers(s): Charles Sax Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman Hearing Site: Philadelphia, PA
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22-00868 | 12/06/2022 | Claimant(s): Stephen Williams Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): NEXT Financial Group. Respondent Lawyers(s): John T. Unger Arbitrator(s): Harvey R. Linder, Nathan Allen Collins, Cynthianther May Hearing Site: Birmingham, AL
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21-02507 | 12/05/2022 | Claimant(s): Michael Miller Claimant Lawyers(s): Gregg Adler Respondent(s): TD Private Client Wealth LLC Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Edward S. Hill, Patrick Leo Kennedy, Peter E. Gillespie Hearing Site: Hartford, CT
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21-02947 | 12/05/2022 | Claimant(s): Joseph Scotto Claimant Lawyers(s): Benjamin J. Biard Respondent(s): Morgan Stanley Respondent Lawyers(s): Jeremy S. Weiner Arbitrator(s): Harvey Barrison, Jeffrey P. Bachmann, John Warner Lowe Hearing Site: New York, NY
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22-00364 | 12/05/2022 | Claimant(s): Jason Abbamonte Claimant Lawyers(s): Harris Freedman Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Christopher F. Robertson Arbitrator(s): Kenneth R. Starr Hearing Site: Tampa, FL
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22-00418 | 12/05/2022 | Claimant(s): Jeffrey Golubeff Claimant Lawyers(s): Samantha Pastor Respondent(s): Invest Financial Corporation, J.W. Cole Financial Inc. Respondent Lawyers(s): John Hitchings, Samuel N. Kopmar Arbitrator(s): John P. Cullem Hearing Site: Tampa, FL
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