| 17-01540 | 01/09/2019 | Claimant(s): Daniel Breen
Claimant Lawyers(s): Steven Paradise
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Sandra J. Mullings, Laura Carraher, Theodore A Levine
Hearing Site: New York, NY
| | $0 |
| 17-03220 | 01/09/2019 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A Pickett
Respondent(s): Jay Slouffman, Prospera Financial Services.
Respondent Lawyers(s): John Alten
Arbitrator(s): Stephen P. Calardo, A. Brian McIntosh, David S. Blessing
Hearing Site: Cincinnati, OH
| | $0 |
| 18-01109 | 01/09/2019 | Claimant(s): Michael Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Salt Lake City, UT
| | $0 |
| 18-02196 | 01/09/2019 | Claimant(s): Kevin Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
| | $0 |
| 18-02462 | 01/09/2019 | Claimant(s): Adrienne Rowles
Claimant Lawyers(s): Adrienne Elizabeth Rowles
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Thomas W. Duffey, Paul Peter Nicolai, Michael Christopher Hildreth
Hearing Site: Boston, MA
| | $0 |
| 18-02786 | 01/09/2019 | Claimant(s): David Rey
Claimant Lawyers(s): Robert Jay Moses
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 16-02914 | 01/08/2019 | Claimant(s): William and Henry Associates
Claimant Lawyers(s): John R. Loftus
Respondent(s): Anna Jacob, David Iannini
Respondent Lawyers(s): Brandon S. Reif, John R. Loftus
Arbitrator(s): Thomas Edward Wall, Michael M. Hachigian, Barry A. Fisher
Hearing Site: Los Angeles, CA
| | $0 |
| 17-01634 | 01/08/2019 | Claimant(s): Daniel Weil
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Stacey Lavender-Mayers, Trevor Saliba, NMS Capital Advisors., NMS Capital Securities
Respondent Lawyers(s): Robert C. Harris
Arbitrator(s): Colette Manoil, Paul Gregory Smith, Arthur Thomas Carr
Hearing Site: Boston, MA
| | $0 |
| 18-00496 | 01/08/2019 | Claimant(s): Stacie Weiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., RBC Capital Markets LLC
Respondent Lawyers(s): Demian J. Betz, Frank J. Cuccio
Arbitrator(s): Robert Titus
Hearing Site: Hartford, CT
| | $0 |
| 18-01074 | 01/08/2019 | Claimant(s): James Lavorgna
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Syndicated Capital.
Respondent Lawyers(s): Katherine P. Lee
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | $0 |
