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FINRA Awards for Dochtor Kennedy

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Displaying 1,131-1,140 out of 1,288 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0350007/26/2018Claimant(s): Andrew Samalin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc., First Asset Management.
Respondent Lawyers(s): Chan H. Nam, Lawrence Sandor
Arbitrator(s): Karen Isabel Bedrosian - Richardson
Hearing Site: New York, NY
$0
17-0308907/17/2018Claimant(s): Bernard Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Michael H. DuBoff
Hearing Site: Newark, NJ
$0
17-0324107/10/2018Claimant(s): Samuel Belsito
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael R. Gaico, Sarah K. Yates
Arbitrator(s): Robert E. Anderson
Hearing Site: Hartford, CT
$0
17-0234906/26/2018Claimant(s): Todd Allen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Tracy L. Allen
Hearing Site: Buffalo, NY
$0
17-0076106/21/2018Claimant(s): Michael Luftman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): 1717 Capital Management Company, Metropolitan Life Insurance Company
Respondent Lawyers(s): Christopher C. Coss, Joseph J. Prochaska
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
$0
17-0149305/31/2018Claimant(s): Stephen Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre C. Wolff
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Baltimore, MD
$0
17-0181105/30/2018Claimant(s): Gregory Golding
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
$0
17-0311605/24/2018Claimant(s): Michael Chadwick
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Andrea Shafer
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Syracuse, NY
$0
17-0113505/22/2018Claimant(s): Jeffrey Leventhal
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
$0
17-0221805/10/2018Claimant(s): Walter Martin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Frank E. Wolf
Hearing Site: Charlotte, NC
$0

1,288 Results

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