| 23-00736 | 08/10/2023 | Claimant(s): Gary Sanson
Claimant Lawyers(s): David I. Hantman
Respondent(s): Cambridge Investment Research., Voya Financial Advisors.
Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-02086 | 08/10/2023 | Claimant(s): Ryan Jensen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equity Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Portland, OR
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| 22-02082 | 08/10/2023 | Claimant(s): David Prewette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SA Stone Wealth Management Inc.
Respondent Lawyers(s): Andrew R. Chambless
Arbitrator(s): Barbara Black
Hearing Site: Atlanta, GA
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| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp.
Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild
Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley
Hearing Site: Denver, CO
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| 18-04171 | 08/09/2023 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Michael Gloster
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Felicia Gail Harris, Gail K. Barski-McCracken, William Napoleone
Hearing Site: Detroit, MI
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| 23-00133 | 08/08/2023 | Claimant(s): Scott Scherer
Claimant Lawyers(s): Samantha Pastor
Respondent(s): Preferred Capital Securities
Respondent Lawyers(s): Orit Small
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 22-00949 | 08/07/2023 | Claimant(s): Sean Caplen
Claimant Lawyers(s): Harris Freedman
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Mark A Bilawsky
Hearing Site: Boca Raton, FL
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| 22-02627 | 08/07/2023 | Claimant(s): Kirby McDonald
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
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| 23-00432 | 08/07/2023 | Claimant(s): Peter Klein
Claimant Lawyers(s): David I. Hantman
Respondent(s): Hightower Securities
Respondent Lawyers(s): Paul Wascher
Arbitrator(s): Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
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