| 24-00737 | 10/08/2024 | Claimant(s): Joseph Darpel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Joseph J. Dougherty, Paul E. Dahlman, Michele S. Riley
Hearing Site: St. Louis, MO
| | |
| 23-03514 | 09/05/2024 | Claimant(s): Erik Snyder, Richard Hargis
Claimant Lawyers(s): Joel M. Everest
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Diane Ciccone, Carol H. Gold, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 23-00074 | 05/24/2024 | Claimant(s): Germaine Broussard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Amanda Parisi
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Washington, DC
| | |
| 23-01459 | 01/25/2024 | Claimant(s): Michael Brooks
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Securities
Respondent Lawyers(s): Ella Beres
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | |
| 21-02289 | 01/02/2024 | Claimant(s): Justin Naughton
Claimant Lawyers(s): Dennis E. Boyle
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Dougherty, Overman Randolph Rollins, Elizabeth Flannagan Edwards
Hearing Site: Richmond, VA
|  | $75,603 |
| 22-01863 | 04/04/2023 | Claimant(s): Cheryl Blakey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Wilmington, DE
| | |
| 22-01013 | 12/07/2022 | Claimant(s): James Leo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Financial Services Group.
Respondent Lawyers(s): Charles Sax
Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman
Hearing Site: Philadelphia, PA
| | |
| 21-02815 | 07/06/2022 | Claimant(s): Monique Sessler
Claimant Lawyers(s): Meghan McElligott
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Richmond, VA
| | Expungement |
| 19-02669 | 08/19/2021 | Claimant(s): Edward Taylor
Claimant Lawyers(s): Jay W. Waldman
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Diane Ciccone, John T. Hausladen, Joseph J. Dougherty
Hearing Site: Philadelphia, PA
| | |
| 19-02561 | 07/22/2021 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): Neal Rutman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Edward Turner Borer, Joseph J. Dougherty, Mark H. Stein
Hearing Site: Philadelphia, PA
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