| 23-01349 | 04/11/2024 | Claimant(s): Peter Armstrong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Advisors Asset Management.
Respondent Lawyers(s): Kevin B. Walker
Arbitrator(s): Jim Geiger
Hearing Site: Columbus, OH
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| 23-02772 | 04/11/2024 | Claimant(s): Inderpal Anand
Claimant Lawyers(s): James P. Galvin
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 23-01414 | 04/10/2024 | Claimant(s): Frank Briseno, III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
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| 23-02992 | 04/10/2024 | Claimant(s): Douglas Breitenbach
Claimant Lawyers(s): Michael Davis Hoenig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Michael L. Fortney
Hearing Site: Cleveland, OH
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| 23-01289 | 04/10/2024 | Claimant(s): David Hancock
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Lita S. Menkin
Hearing Site: Birmingham, AL
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| 23-00446 | 04/10/2024 | Claimant(s): Michael Nolan
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Edward Turner Borer, Paul J. Leis, Peter George Erdely
Hearing Site: Philadelphia, PA
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| 23-02773 | 04/09/2024 | Claimant(s): Peter Pavlakis
Claimant Lawyers(s): Robert W. Pearce
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Greg M. Scanlon
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
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| 23-02358 | 04/08/2024 | Claimant(s): Jonathan French
Claimant Lawyers(s): Zack Knoblock
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Darol K. Paulsen
Arbitrator(s): Constance Ellen Boukidis, Kirtley M. Thiesmeyer, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
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| 23-01519 | 04/08/2024 | Claimant(s): Stephen Ridge
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elena D. Marcuss
Arbitrator(s): Richard E. Lauziere
Hearing Site: Baltimore, MD
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| 23-02834 | 04/08/2024 | Claimant(s): Melissa Devolve
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
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