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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