| 20-00994 | 01/31/2024 | Claimant(s): Adam Kaplan, Daniel Kaplan
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Amy Goldstein Sessa, Jonathan Sessa, Jordana Sessa
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Bernard Lieberman, John Berton, Lorrie E Whitfield
Hearing Site: New York, NY
|  | $100,000 |
| 22-01555 | 03/16/2023 | Claimant(s): Jeffrey Weiner
Claimant Lawyers(s): Brian Kennedy
Respondent(s): MML Investors Services
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): David Sorokoff, Clive I. Morrick, Andrew Robert Kosloff
Hearing Site: New York, NY
| | |
| 19-01077 | 02/25/2022 | Claimant(s): Erik Napp
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Nirav S. Shah
Arbitrator(s): Rory M. McLaughlin, Lorraine Marie Brennan, Steven Bauer Malkenson
Hearing Site: New York, NY
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| 20-01296 | 02/09/2021 | Claimant(s): Zachary Brody
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 19-00395 | 10/21/2020 | Claimant(s): Brian Kennedy, Vincent Catalano
Claimant Lawyers(s): David J. Freniere
Respondent(s): John Dimonda, Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): John J. Jordan, Louis P. Wagman, Stephen Samuel Werner
Hearing Site: Philadelphia, PA
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| 19-03547 | 10/08/2020 | Claimant(s): Anthony Becker
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Great American Advisors., Lincoln Investment
Respondent Lawyers(s): Jessica Levine, Peter J. Nerone
Arbitrator(s): Daniel Adam Schlein, Joanne Basso Mack, Steven C. Kasarda
Hearing Site: New York, NY
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| 16-03348 | 07/03/2017 | Claimant(s): Eric Hernandez
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark Knoll
Arbitrator(s): Sandra J. Mullings, Joan M. Traub, Joanne Basso Mack
Hearing Site: New York, NY
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| 16-01768 | 05/10/2017 | Claimant(s): Richard Kenny
Claimant Lawyers(s): Brian Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Annamaria Boccia Smith, Edward Farrelly Smith, William James Cortellessa
Hearing Site: New York, NY
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| 14-03523 | 09/25/2015 | Claimant(s): Daniel Rosenberg
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Richard W. Epstein, David E. Mowry, Andrew Jay Kohan
Hearing Site: Boca Raton, FL
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| 13-00609 | 02/03/2015 | Claimant(s): Rafael Diamond
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): Richard W. Cutler, Lisa Lograno, Sandra Holtzman
Hearing Site: New York, NY
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