| 21-03002 | 09/01/2022 | Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Linda J. Baer
Hearing Site: Wilmington, DE
| | |
| 22-00298 | 08/24/2022 | Claimant(s): Jay Ambroson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Gould, Ambroson & Associates Ltd.
Respondent Lawyers(s): Jay A. Ambroson
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 21-01614 | 08/08/2022 | Claimant(s): Estate of Barbra H. Uterstaedt
Claimant Lawyers(s): Joseph A. Hourihan
Respondent(s): Robin Bogda, Janney Montgomery Scott LLC
Respondent Lawyers(s): Eric M. Sandler, Jeffrey N. Kaplan
Arbitrator(s): Linda J. Baer, Robert M. Singer, Nancy Wiegers Greenwald
Hearing Site: Hartford, CT
|  | $0 |
| 21-02378 | 06/29/2022 | Claimant(s): Jonathan Lonske
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc., UBS Financial Services Inc.
Respondent Lawyers(s): Abigail Elrod, Elisabeth Kratka, John Murphy
Arbitrator(s): Linda J. Baer
Hearing Site: Boston, MA
| | |
| 21-02593 | 06/17/2022 | Claimant(s): Mau Cong
Claimant Lawyers(s): Mau Cong
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jovalin Dedaj
Arbitrator(s): Linda J. Baer
Hearing Site: Manchester, NH
| | $0 |
| 22-00158 | 06/07/2022 | Claimant(s): Equitable Advisors, Equitable Network
Claimant Lawyers(s): Amanda Sotak
Respondent(s): John Laudonio
Respondent Lawyers(s): Mark L. DeBenedittis
Arbitrator(s): Linda J. Baer
Hearing Site: New York, NY
| | |
| 21-01986 | 05/02/2022 | Claimant(s): Cynthia Giovacchino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Linda J. Baer
Hearing Site: Hartford, CT
| | |
| 20-03407 | 02/02/2022 | Claimant(s): Joseph McCormick IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): USA Financial Securities Corporation
Respondent Lawyers(s): Samuel E. Cohen
Arbitrator(s): Julian F. Santos, Linda J. Baer, Clifford Jacob Pritchard
Hearing Site: Wilmington, DE
| | Expungement |
| 21-01465 | 11/22/2021 | Claimant(s): Benjamin Fuchs
Claimant Lawyers(s): David I. Hantman
Respondent(s): Silver Oak Securitiesorporated
Respondent Lawyers(s): William E. Hopkins
Arbitrator(s): Linda J. Baer
Hearing Site: Hartford, CT
| | |
| 21-00546 | 10/15/2021 | Claimant(s): Kristina Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Linda J. Baer
Hearing Site: Wilmington, DE
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