| 19-03405 | 07/22/2020 | Claimant(s): Casey Craig
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research., MML Investors Services
Respondent Lawyers(s): Richard H. Kuhlman, William P. Thornton
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
| | |
| 19-02717 | 06/10/2020 | Claimant(s): Scott Shulman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Patricia H. Latham
Hearing Site: Washington, DC
| | |
| 19-02912 | 04/29/2020 | Claimant(s): James Yu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Barbara Davis Solomon
Hearing Site: Washington, DC
| | |
| 19-01097 | 02/13/2020 | Claimant(s): Thomas Howes
Claimant Lawyers(s): Thomas W. Howes
Respondent(s): Alexys Mckenzie, Janet Bentley-Ewers, Joquinn Sadler, Raymond, James & Associates., IFS Securities
Respondent Lawyers(s): Brandy N. Pikus, Richard E. Brodsky
Arbitrator(s): Steven R. Bralove, Joyce A. Mitchell, Barbara Hill Bink
Hearing Site: Washington, DC
|  | Dismissed by Rule 12206/12504 |
| 19-01463 | 12/27/2019 | Claimant(s): Kevin Collison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Larry E. Ray
Hearing Site: Washington, DC
| | |
| 19-02732 | 12/27/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Michael Carter
Respondent Lawyers(s): Michael Barry Carter
Arbitrator(s): Geoffrey A. Drucker
Hearing Site: Washington, DC
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| 18-04173 | 11/22/2019 | Claimant(s): Rodney Dabbondanza
Claimant Lawyers(s): Michael Patrick Shaw
Respondent(s): H. Beck.
Respondent Lawyers(s): Richard A. D'Amura
Arbitrator(s): Arthur J. Salzberg, Karla Jayne Letsche, Sonya L. Sacks
Hearing Site: Washington, DC
| | |
| 18-01976 | 06/20/2019 | Claimant(s): Zephyr Fund
Claimant Lawyers(s): Rod Holder
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Joseph Siders
Arbitrator(s): Jeffry L. Perlman, Kelli J. Jareaux, David Paul Clark
Hearing Site: Washington, DC
| | $12,800 |
| 17-00353 | 06/19/2019 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): James L. Komie
Respondent(s): Brandon Mink
Respondent Lawyers(s): Michelle Atlas
Arbitrator(s): Mona Koppel Mitnick, Robert Michael O'Brien, Jeri Kaylene Somers
Hearing Site: Washington, DC
| | |
| 18-02907 | 05/30/2019 | Claimant(s): Derrick Robinson
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Mona Koppel Mitnick
Hearing Site: Washington, DC
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