17-00509 | 10/13/2017 | Claimant(s): Scott Hood Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi P. Spallina Arbitrator(s): Mark R. Lee Hearing Site: San Diego, CA
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17-00760 | 10/13/2017 | Claimant(s): Richard Lafferty Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Amy B. Bard Arbitrator(s): Philip Levine Hearing Site: Newark, NJ
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17-00304 | 10/12/2017 | Claimant(s): Thomas Fields Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A.G. Edwards & Sons., Wells Fargo Advisors, Prudential Equity Group Respondent Lawyers(s): Alan S. Brodherson, Deirdre Wolff Arbitrator(s): Neil Harvey Smith Hearing Site: Nashville, TN
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17-00224 | 10/11/2017 | Claimant(s): James Everitt Claimant Lawyers(s): Dochtor Kennedy Respondent(s): A.G. Edwards & Sons. Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Herbert Liberman Hearing Site: Boise, ID
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17-00238 | 10/11/2017 | Claimant(s): James Files Claimant Lawyers(s): Dochtor Kennedy Respondent(s): QA3 Financial Corp. Respondent Lawyers(s): Stephen K. Wild Arbitrator(s): Kevin C. Coleman Hearing Site: San Francisco, CA
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17-01071 | 10/11/2017 | Claimant(s): Gregory McDonough Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC Respondent Lawyers(s): David J. Freniere Arbitrator(s): Ronald L. Cheney, Stephen M. Acerra, Sandor I. Rabkin Hearing Site: Boston, MA
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16-03224 | 10/09/2017 | Claimant(s): Vivienne Schleu Claimant Lawyers(s): Dochtor Kennedy Respondent(s): LPL Financial LLC, WMA Securities., World Group Securities. Respondent Lawyers(s): Clive Slovin, Jon D. Kaplon, Susan D. Duff Arbitrator(s): Will Murphy Hearing Site: Boca Raton, FL
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16-03006 | 10/06/2017 | Claimant(s): Travis Hughes Claimant Lawyers(s): Dochtor Kennedy Respondent(s): AXA Advisors, Investors Capital Corp. Respondent Lawyers(s): Hector D. Geribon, Jeremy Carr Arbitrator(s): Donald Dreyfus Hearing Site: Albuquerque, NM
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17-00402 | 10/02/2017 | Claimant(s): Andrew Rieger Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley, Citigroup Global Markets. Respondent Lawyers(s): Chan Nam, David I. Hantman Arbitrator(s): Olivia Milbank Farrar Hearing Site: Washington, DC
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17-00550 | 09/29/2017 | Claimant(s): Mark Graham Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): David I. Hantman Arbitrator(s): Craig Charles Beles Hearing Site: Seattle, WA
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