| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein, Sara B. Davis
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
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| 19-03526 | 06/16/2020 | Claimant(s): David Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Julie Marie Miller
Hearing Site: Little Rock, AR
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| 19-03580 | 06/16/2020 | Claimant(s): Hemant Kathuria
Claimant Lawyers(s): Kurt T Kalberer
Respondent(s): A.G.P. / Alliance Global Partners, Digital Offering LLC
Respondent Lawyers(s): Gordon McBean, Gregg Breitbart
Arbitrator(s): Milton N. Gross
Hearing Site: Los Angeles, CA
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| 20-00512 | 06/16/2020 | Claimant(s): Cody Overstreet
Claimant Lawyers(s): Scott Holcomb
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Myra P Nicholson
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
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| 19-03092 | 06/15/2020 | Claimant(s): Stephen Overton
Claimant Lawyers(s): Harris Freedman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Kimberly J. Gustafson
Arbitrator(s): Martin M. Van Luven
Hearing Site: Tampa, FL
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| 19-02315 | 06/12/2020 | Claimant(s): Stephen O'Donnell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 19-02937 | 06/12/2020 | Claimant(s): Gerald Hanifan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): The Investment Center., USA Financial Securities Corporation
Respondent Lawyers(s): Douglas A. Wright, Joel T. Brusk
Arbitrator(s): Richard E. Miley
Hearing Site: Charlotte, NC
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| 19-03369 | 06/12/2020 | Claimant(s): Craig Nelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Erik R. Siering
Hearing Site: Las Vegas, NV
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| 19-03617 | 06/12/2020 | Claimant(s): Virgil Threlkeld
Claimant Lawyers(s): David Monsour
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 20-00764 | 06/12/2020 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Theodore R. Bynum
Respondent(s): Giovanni Malatesta
Respondent Lawyers(s): Giovanni Antonio Malatesta
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
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