| 19-02740 | 03/17/2020 | Claimant(s): Don Rudolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Corporate Officer, Sara B. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
| | |
| 18-03846 | 03/05/2020 | Claimant(s): James Bradford
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Anthony Mediate, NewBridge Securities Corp.
Respondent Lawyers(s): Anthony Mediate, Gregg J. Breitbart
Arbitrator(s): Gregory D. Hoffmann, Maurice M. Feller, Harvey R. Linder
Hearing Site: Jackson, MS
|  | Dismissed by Rule 12206/12504 |
| 19-02626 | 02/19/2020 | Claimant(s): Jack Cohen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 19-02337 | 02/18/2020 | Claimant(s): Joy Hurst
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 19-02168 | 02/03/2020 | Claimant(s): Paul Allen
Claimant Lawyers(s): Bryan Ward
Respondent(s): Wiley Bros.-Aintree Capital
Respondent Lawyers(s): David W. Wiley
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | |
| 17-02422 | 01/14/2020 | Claimant(s): Delores Trupiano, Philip Trupiano, Delores R. Trupiano Rev. Trust, Philip J. Trupiano Rev. Trust
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Beth Debouvre, Christopher Gammon, Kim Kopacka, Timothy Kopacka, IMS Securities.
Respondent Lawyers(s): Beth Ann Debouvre, Jackie Wadsworth, Joseph Suarez, Kim Kahala Kopacka, Timothy James Kopacka
Arbitrator(s): Robert H. Putnam, Harvey R. Linder, Harry G. Mason
Hearing Site: Columbia, SC
| | $0 |
| 19-02036 | 01/09/2020 | Claimant(s): Michael Grace
Claimant Lawyers(s): David I. Hantman
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Kate Brooker Evans
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 19-01339 | 12/27/2019 | Claimant(s): Roger Green
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mony Securities Corporation
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
| | |
| 19-00062 | 10/28/2019 | Claimant(s): Alan Brookshire
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Olivia L. Jones
Arbitrator(s): Harvey R. Linder
Hearing Site: Charlotte, NC
| | |
| 18-04371 | 07/24/2019 | Claimant(s): Rick Kent
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Tyler Schubauer
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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