| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford
Claimant Lawyers(s): Michael Bessette
Respondent(s): LPL Financial LLC, Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein, Sara B. Davis
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 19-02190 | 03/18/2020 | Claimant(s): Christopher Holder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Melissa Tarentino
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | |
| 19-01790 | 03/03/2020 | Claimant(s): Careena Patel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BBVA Securities Inc.
Respondent Lawyers(s): M. Lee Johnsey
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 19-01688 | 02/28/2020 | Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 18-04019 | 02/18/2020 | Claimant(s): Carolyn Smith, Charles Gibson, Courtney Watson, Dana McElveen, David McElveen, Edwin Batiz, John Watson, Joyce Bedsole, Kenneth Roberts, Mary Jo Kearfott, Michael Kogutt, Paul Smith, Randy Kogutt, Robert Burns, Samuel Kogutt, Thomas Towne, Travis Bedsole, Virginia Scherer, English Garden LLC, Estate of Lawrence Lester, Bobby E. Sapp IRA, Carol I. Bordok IRA, James A. Windom IRA, James Thannum IRA, Stanley McMorris IRA, Thomas Carter Towne IRA, Travis Bedsole IRA, W. Hibbett Neel IRA, Dr. Eric Lewis, Tte for Southwest Center, Thannum Revocable Living Trust, Thomas & Virginia Scherer Credit Shelter
Claimant Lawyers(s): Donald L. Ferguson, Scott D. Hirsch
Respondent(s): Pershing LLC
Respondent Lawyers(s): Jeffrey J. Chapman
Arbitrator(s): William L. Cravens, Frances Johnson Wright, James W. Kerr
Hearing Site: Dallas, TX
|  | $5,645,370 |
| 18-04388 | 07/16/2019 | Claimant(s): Bill Carter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
| | |
| 18-01799 | 01/15/2019 | Claimant(s): Jay Higgenbotham
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Stanton A. Fears
Arbitrator(s): Frances Johnson Wright
Hearing Site: Birmingham, AL
| | |
| 16-02666 | 05/03/2017 | Claimant(s): Joseph Piellucci
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Advisors, UBS Financial Services Inc.
Respondent Lawyers(s): Jonathan C. Schwartz, Michael Naccarato
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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| 14-02464 | 12/05/2016 | Claimant(s): Mercedes Imbert de Jesus, Rafael Vizcarrondo
Claimant Lawyers(s): Rafael Lugo, Timothy J. Dennin
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Wesley Holston
Arbitrator(s): John D. Mattingly, Frances Johnson Wright, Susan Meek
Hearing Site: San Juan, PR
| | $18,577,400 |
| 14-00381 | 08/04/2016 | Claimant(s): Joel Marius
Claimant Lawyers(s): W. D. Masterson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Frances Johnson Wright
Hearing Site: Dallas, TX
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