| 23-02957 | 07/08/2024 | Claimant(s): Brian Bernhardt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 23-02948 | 05/29/2024 | Claimant(s): Vincent Catalano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
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| 23-02529 | 03/14/2024 | Claimant(s): Peter Blok
Claimant Lawyers(s): Benjamin J. Biard
Respondent(s): Grove Point Investments
Respondent Lawyers(s): Matt Winterhalter
Arbitrator(s): Louis P. Wagman, Leo J. Karwejna, Thomas R Nathan
Hearing Site: Philadelphia, PA
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| 23-01448 | 12/13/2023 | Claimant(s): Daniel Boyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Boenning & Scattergood.
Respondent Lawyers(s): Ingrid R. Welch
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 23-01302 | 12/08/2023 | Claimant(s): Douglas Woolley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 23-01216 | 11/20/2023 | Claimant(s): James Cipriotti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-02309 | 08/25/2023 | Claimant(s): Harry Orth, Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
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| 23-00736 | 08/10/2023 | Claimant(s): Gary Sanson
Claimant Lawyers(s): David I. Hantman
Respondent(s): Cambridge Investment Research., Voya Financial Advisors.
Respondent Lawyers(s): Denis C. Dice, Jeanette E. Dennis
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-01608 | 03/30/2023 | Claimant(s): Michael Cifelli
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Louis P. Wagman
Hearing Site: Philadelphia, PA
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| 22-01013 | 12/07/2022 | Claimant(s): James Leo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Summit Financial Services Group.
Respondent Lawyers(s): Charles Sax
Arbitrator(s): John T. Hausladen, Joseph J. Dougherty, Louis P. Wagman
Hearing Site: Philadelphia, PA
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