| 19-01757 | 08/25/2020 | Claimant(s): Antoine Hill
Claimant Lawyers(s): Thomas H. Roberts
Respondent(s): Andrew Donnelly, Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Elliot B. Platt, Gordon M. Wase, Jane Tam
Hearing Site: Richmond, VA
|  | $0 |
| 19-03711 | 08/17/2020 | Claimant(s): Carolyn DiPrinzio
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): JoAnne Lewis Nolte
Hearing Site: Richmond, VA
| | |
| 19-02802 | 04/22/2020 | Claimant(s): Mary Bennett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ashley K. Kelley
Arbitrator(s): Jane Tam
Hearing Site: Richmond, VA
| | |
| 19-01955 | 02/14/2020 | Claimant(s): Tommy Dewitt
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Brent Porges, David Cannata, Craig Scott Capital
Respondent Lawyers(s): Brent Morgan Porges, Craig Taddonio, David Charles Cannata
Arbitrator(s): Gregory Hunter Mathews
Hearing Site: Richmond, VA
| | $50,000 |
| 19-01905 | 02/13/2020 | Claimant(s): Jaret Mutter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunTrust Investment Services.
Respondent Lawyers(s): Josef Rosen
Arbitrator(s): Jim Geiger
Hearing Site: Richmond, VA
| | |
| 18-04126 | 02/13/2020 | Claimant(s): Jeffrey Walter
Claimant Lawyers(s): James L Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Michael J. Henke, Carl F. Bowmer, Javier Andres Colon Volgamore
Hearing Site: Richmond, VA
| | $0 |
| 19-01252 | 01/28/2020 | Claimant(s): Haider Sharifi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Carl F. Bowmer
Hearing Site: Richmond, VA
| | |
| 19-01382 | 01/27/2020 | Claimant(s): Gregory Nerantzis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Jane Tam
Hearing Site: Richmond, VA
| | |
| 18-03812 | 01/03/2020 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Erryn Barkett
Respondent Lawyers(s): James C. Cosby
Arbitrator(s): Nancy E. Watters
Hearing Site: Richmond, VA
| | |
| 18-04133 | 12/12/2019 | Claimant(s): James Walter
Claimant Lawyers(s): James L. Kauffman
Respondent(s): Cambridge Investment Research., Equity Concepts
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Carl F. Bowmer, Marcus G. Lashley, Peter H. Goldberg
Hearing Site: Richmond, VA
| | $0 |
