| 20-01860 | 01/22/2021 | Claimant(s): Thomas West
Claimant Lawyers(s): Keith J. Barnett
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): David Edward Upton, Glenn H. Catalano, Tina E. Patterson
Hearing Site: Richmond, VA
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| 20-02859 | 12/29/2020 | Claimant(s): Christopher Calandra
Claimant Lawyers(s): Christopher J Calandra
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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| 20-00837 | 12/22/2020 | Claimant(s): Geoffrey McCash
Claimant Lawyers(s): Edward Scott Zusman
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Michael L. Lyons
Hearing Site: Columbus, OH
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| 20-01348 | 12/17/2020 | Claimant(s): Andrew Butler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Woodbury Financial Services., Next Financial Group.
Respondent Lawyers(s): James V. Noblett, John T. Unger, Kelsey Vasko
Arbitrator(s): Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 20-00975 | 11/29/2020 | Claimant(s): Debra Kuper
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Susan L. Walker
Hearing Site: Minneapolis, MN
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| 20-01199 | 10/29/2020 | Claimant(s): Kevin Mcbarron
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Sagepoint Financial., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, James V. Noblett
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Boca Raton, FL
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| 20-00148 | 08/20/2020 | Claimant(s): Robert Bruner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 20-00122 | 07/15/2020 | Claimant(s): Christopher Bice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s):
Hearing Site: Charlotte, NC
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| 19-03396 | 06/10/2020 | Claimant(s): Todd Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunAmerica Securities.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 19-01174 | 03/25/2020 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kovack Securities Inc, FSC Securities Corporation
Respondent Lawyers(s): Amy S. Towle, James V. Noblett
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
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