| 19-00117 | 09/23/2019 | Claimant(s): Craig Moore
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s):
Hearing Site: Manchester, NH
| | |
| 19-00995 | 09/16/2019 | Claimant(s): Scott Genzman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): I Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 18-04318 | 08/06/2019 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John F. Burns
Hearing Site: Philadelphia, PA
| | |
| 18-03361 | 03/26/2019 | Claimant(s): Anthony Gambone
Claimant Lawyers(s): Anthony Michael Gambone
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 18-00462 | 11/19/2018 | Claimant(s): Matthew Shull
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 17-01868 | 09/13/2018 | Claimant(s): Ginger Chapin, Lionel Dupont, Steven Dupont, Eva M. Duponte Revocable Trust, Lionel V. Duponte Revocable Trust
Claimant Lawyers(s): Ginger Dupont
Respondent(s): Pruco Securities., MML Investors Services
Respondent Lawyers(s): Andrew S. Azarmi, Julie E. Ravis
Arbitrator(s): Robert Titus, Catherine Stewart, Michael P. Breton
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
| 17-03361 | 07/18/2018 | Claimant(s): Mark Kruman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Philadelphia, PA
| | |
| 17-01263 | 02/16/2018 | Claimant(s): Louis Tilchin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | |
| 17-01093 | 10/31/2017 | Claimant(s): Heidi Hanson
Claimant Lawyers(s): Thomas N. O'Connor
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Denise L. Presley, Abigail Falcon-Rosa
Hearing Site: Boston, MA
| | Expungement |
| 15-02108 | 07/05/2017 | Claimant(s): Michael Gallion, The Estate of Nancy Gallion
Claimant Lawyers(s): John D. Singer
Respondent(s): Calvin Zara, Pruco Securities.
Respondent Lawyers(s): Courtney Stieber, David H. Jarvis
Arbitrator(s): Kenneth E. Owen, Joseph Winter, Daniel Lawrence Pearlman
Hearing Site: Los Angeles, CA
| | Expungement |
