| 23-01368 | 01/23/2024 | Claimant(s): William Brown
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James & Associates., Legg Mason Wood Walker, R. H. York & Company.
Respondent Lawyers(s): Laura Ruiz Rivera, Lawrence York, Rosemary Francavilla
Arbitrator(s): Kevin R. Zehe
Hearing Site: Cincinnati, OH
| | |
| 20-02854 | 09/24/2021 | Claimant(s): Jonathan Legg
Claimant Lawyers(s): Adam M Kauff
Respondent(s): Legg Mason Wood Walker, B. Riley Securities.
Respondent Lawyers(s): Michael Markunas, Rosemary Francavilla
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 20-01044 | 04/16/2021 | Claimant(s): George Eggers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 20-00701 | 02/10/2021 | Claimant(s): Sheila Shaffer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker
Respondent Lawyers(s): Rosemary Francavilla
Arbitrator(s): Kelli J. Jareaux
Hearing Site: Washington, DC
| | |
| 19-03523 | 11/02/2020 | Claimant(s): Joseph Roop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Legg Mason Wood Walker, Wells Fargo Clearing Services, Kalos Capital., Banc of America Investment Services Inc.
Respondent Lawyers(s): Alan M. Wolper, Demian J. Betz, Gretchen Klebasko, Sarah K. Yates
Arbitrator(s): Richard H. Potter
Hearing Site: Charlotte, NC
| | |
| 19-03093 | 08/17/2020 | Claimant(s): Gary Padussis
Claimant Lawyers(s): Michael P. Shaw
Respondent(s): Morgan Stanley, Legg Mason Wood Walker, Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, Elisabeth Kratka, Gretchen Klebasko
Arbitrator(s): David L. Ruderman
Hearing Site: Baltimore, MD
| | |
| 18-03254 | 06/06/2019 | Claimant(s): Ronald Wetzel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Legg Mason Wood Walker, Citigroup Global Markets.
Respondent Lawyers(s): Abigail D. Elrod, Barbara Weaver, David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Baltimore, MD
| | |
| 18-00261 | 10/31/2018 | Claimant(s): John Tyczynski
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gleacher & Company Securities., Legg Mason Wood Walker
Respondent Lawyers(s): Annis Kwok, Rosemary Francavilla
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
| | |
| 17-01708 | 03/15/2018 | Claimant(s): Norman Coates
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., Legg Mason Wood Walker, Capital One Investments
Respondent Lawyers(s): Chan Nam, Todd Ratner
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 14-00393 | 02/26/2016 | Claimant(s): Donna Brody
Claimant Lawyers(s): Donna L. Brody
Respondent(s): Legg Mason Wood Walker, Morgan Stanley, Patricia Walsh
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Janet L. Brown, Abigail J. Pessen, Marissa A. Santangelo
Hearing Site: Hartford, CT
|  | Dismissed by Rule 12206 |
