21-01946 | 02/14/2022 | Claimant(s): Travis Sullivan Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Principal Financial Securities. Respondent Lawyers(s): Tanya J. McCann Arbitrator(s): Robert J. Gregory Hearing Site: Dallas, TX
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21-02277 | 02/14/2022 | Claimant(s): Jeffrey Rosenblum Claimant Lawyers(s): Stephan Louviere Respondent(s): RBC Capital Markets LLC Respondent Lawyers(s): Leyla Bari Arbitrator(s): Jeffrey Alan Helewitz Hearing Site: Jersey City, NJ
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16-03296 | 02/11/2022 | Claimant(s): Daryl Allen, Frank Hogan, Langston Turner Claimant Lawyers(s): Rogge Dunn Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Stephen M. Kramarsky Arbitrator(s): David C. Redford, Michael S. Yauch, Lewis Kenneth Harley Hearing Site: Houston, TX
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20-00518 | 02/11/2022 | Claimant(s): Brok-Alan Woodward-Griffith Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): David I. Hantman Arbitrator(s): Jim Geiger Hearing Site: Manchester, NH
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20-01977 | 02/11/2022 | Claimant(s): Bryan Montemurro Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Valic Financial Advisors. Respondent Lawyers(s): Carole G. Miller Arbitrator(s): Philip J. Glick Hearing Site: Kansas City, MO
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21-01304 | 02/11/2022 | Claimant(s): Don Salter Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): Matthew Bohenek Arbitrator(s): Sally G. Williams Hearing Site: New Orleans, LA
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21-01937 | 02/11/2022 | Claimant(s): Eduardo Caban Silva Claimant Lawyers(s): Roberto C. Quinones Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR Respondent Lawyers(s): Rey F. Medina Velez Arbitrator(s): Gerald Silverman Hearing Site: San Juan, PR
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19-01561 | 02/10/2022 | Claimant(s): Reema Mahtani Claimant Lawyers(s): Ryan Bakhtiari Respondent(s): Farmers Financial Solutions Respondent Lawyers(s): Christopher S. Maile Arbitrator(s): George Herman Frisch Hearing Site: Los Angeles, CA
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20-00511 | 02/10/2022 | Claimant(s): David Thompson Claimant Lawyers(s): Brian J. Neville Respondent(s): TD Private Client Wealth Respondent Lawyers(s): Ira G. Rosenstein Arbitrator(s): Leonard E. Benade, Douglas Earl McLaren, Norman Lee Gunn Hearing Site: Charlotte, NC
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21-01308 | 02/10/2022 | Claimant(s): Shannon Freeland Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Equitable Advisors, J.P. Morgan Securities Respondent Lawyers(s): Michael J. Biondi, Neal S. Robb Arbitrator(s): David William Hickman Hearing Site: Seattle, WA
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