| 18-04361 | 11/15/2019 | Claimant(s): Donald Robbins
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christen Leah Casale
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 18-03960 | 11/12/2019 | Claimant(s): Catherine Baker
Claimant Lawyers(s): D. Daxton White
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, John A. Baynes
Hearing Site: Charlotte, NC
|  | $228,384 |
| 19-00738 | 11/11/2019 | Claimant(s): David Mehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 19-00062 | 10/28/2019 | Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Olivia L. Jones
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
| | |
| 19-00649 | 10/18/2019 | Claimant(s): Wesley Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Charlotte, NC
| | |
| 19-00170 | 10/17/2019 | Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jason Alexander Diamond
Hearing Site: Charlotte, NC
| | |
| 18-03791 | 10/03/2019 | Claimant(s): Janet Heath, Jerry Heath, Joseph Taborek, Sandra Gizzi, James N. Heald
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): James Heafner, Taylor Capital Management Inc.
Respondent Lawyers(s): James Hal Heafner, Preston Spears
Arbitrator(s): Joe E. Manuel, David F. Simon, Daniel Lee Tedrick
Hearing Site: Charlotte, NC
| | $1,033,360 |
| 18-01073 | 08/29/2019 | Claimant(s): Sean Stewart
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Daniel Dvorznak, Nicholas Tsikitas, J.D. Nicholas & Associates.
Respondent Lawyers(s): Irwin Weltz, James Dolan
Arbitrator(s): Richard H. Potter, Susan L. Luck, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | Settlement |
| 19-00056 | 08/09/2019 | Claimant(s): Andrew Harding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
| 18-04432 | 08/08/2019 | Claimant(s): Christopher Miller
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Cheryl Howard
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Charlotte, NC
| | |
