| 13-01020 | 12/31/2014 | Claimant(s): Mohamed Kamara
Claimant Lawyers(s): Brian Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel J. McCarthy, Robert Bartels, Daniel J. Brooks
Hearing Site: New York, NY
| | |
| 12-01917 | 06/02/2014 | Claimant(s): Marcia Mossack
Claimant Lawyers(s): Brian Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Caroline K. Hall
Arbitrator(s): Linda J. Baer, Kumar Atmakuri Ram, Martin Deignan Dehler
Hearing Site: New York, NY
|  | Expungement |
| 11-02612 | 10/04/2013 | Claimant(s): Vikram Kaul
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lowell D. Johnston, Cirino M. Bruno, Richard Bryce Nesson
Hearing Site: New York, NY
| | |
| 12-00720 | 06/19/2013 | Claimant(s): Bernadette Kelleher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Richard W. Cutler, John B. Myers, Ronald Harris Kisner
Hearing Site: New York, NY
| | $11,000 |
| 12-00417 | 05/22/2013 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): David Sweeney
Respondent Lawyers(s): Brian Kennedy
Arbitrator(s): Saul Scheier
Hearing Site: New York, NY
| | |
| 11-00219 | 02/20/2013 | Claimant(s): Michael Gallagher and Mary Gallagher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Carol H. Gold, Edward F. Koren, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | Expungement |
| 10-03600 | 02/27/2012 | Claimant(s): Ceros Financial Services.
Claimant Lawyers(s): Mitchell E. Herr
Respondent(s): Frank Heinemann, Mark Fidelak, Sebastian Ullmann
Respondent Lawyers(s): Brian Kennedy
Arbitrator(s): David Hirschberg, David I. Goldblatt, Barbara Sullivan-Parry
Hearing Site: New York, NY
| | |
| 10-00548 | 07/14/2011 | Claimant(s): Joan Martin
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stuart G. Brooks
Arbitrator(s): Robert J. Kheel, Domitilia M. dos Santos, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 09-04699 | 10/20/2010 | Claimant(s): Jill Trade, Paigow II
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Laurie E. Law, Jay Lawrence Witkin, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $0 |
| 09-04885 | 09/30/2010 | Claimant(s): Robert Finkelstein
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | $30,000 |
