| 19-03396 | 06/10/2020 | Claimant(s): Todd Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunAmerica Securities.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 19-02762 | 05/08/2020 | Claimant(s): Michael Osland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 19-02682 | 03/27/2020 | Claimant(s): William O'Connell
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 19-02230 | 03/26/2020 | Claimant(s): Wayne Kandas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MSI Financial Services.
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 19-02037 | 03/23/2020 | Claimant(s): James Bishopp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunAmerica Securities., National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, James V. Noblett
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 19-02404 | 03/19/2020 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Hoffman
Respondent Lawyers(s): Arthur Stewart Hoffman
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
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| 19-02251 | 03/17/2020 | Claimant(s): Keith DeGreen
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Kenneth Layne Morrill, Renee Bryna Gerstman, James M Garber
Hearing Site: Phoenix, AZ
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| 19-02017 | 02/14/2020 | Claimant(s): Brent Pine
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
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| 18-01399 | 12/24/2019 | Claimant(s): Michele Schultz, Michele C. Schultz Family Living Trust
Claimant Lawyers(s): David Neuman
Respondent(s): Jerry Guttman
Respondent Lawyers(s): Gregory T. Everts
Arbitrator(s): Richard D. Fincher, Frank R. Mead, Patrick Irvine
Hearing Site: Phoenix, AZ
|  | Stipulated Award |
| 19-01114 | 12/23/2019 | Claimant(s): Brian Scanlon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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