| 23-01146 | 10/05/2023 | Claimant(s): Leon Almeida
Claimant Lawyers(s): Jennifer Poole Farrar
Respondent(s): MML Investors Services, MSI Financial Services.
Respondent Lawyers(s): Julie E. Ravis
Arbitrator(s): Edith M. Novack
Hearing Site: Jersey City, NJ
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| 23-00110 | 09/29/2023 | Claimant(s): Darryl Fyall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
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| 22-02257 | 06/06/2023 | Claimant(s): Gale Brodie
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Waddell & Reed, MSI Financial Services.
Respondent Lawyers(s): Ariel N. Brotman, Mike West
Arbitrator(s): Gary A. Hooker, Philip Aaron Tymon, Bruce J Highman
Hearing Site: San Francisco, CA
| | |
| 22-00321 | 11/09/2022 | Claimant(s): Larry Tolbert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Sagepoint Financial., MSI Financial Services.
Respondent Lawyers(s): James V. Noblett, Martin Harris
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Memphis, TN
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| 21-02446 | 06/07/2022 | Claimant(s): Scott Keck
Claimant Lawyers(s): Aaron C. Hemmings
Respondent(s): MML Investors Services, MSI Financial Services., Metropolitan Life Insurance Company
Respondent Lawyers(s): Peter R. Pound
Arbitrator(s): Roger C. Benson, Charles Diederich Heidgerd, Karen A. West
Hearing Site: Raleigh, NC
|  | Dismissed by Rule 12206 |
| 21-01781 | 02/18/2022 | Claimant(s): Donald Albach
Claimant Lawyers(s): Stephan Louviere
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Joan M. Traub
Hearing Site: Jersey City, NJ
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| 20-03764 | 10/28/2021 | Claimant(s): William Tucker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 20-02705 | 06/07/2021 | Claimant(s): Pamela Middleton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 20-01830 | 02/19/2021 | Claimant(s): Mario Govic
Claimant Lawyers(s): Harris Freedman
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Thomas J. Patka
Hearing Site: Tampa, FL
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| 20-01448 | 01/19/2021 | Claimant(s): James Holt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Indianapolis, IN
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