| 17-00207 | 09/28/2017 | Claimant(s): Bradley Burton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Olivia Milbank Farrar
Hearing Site: Washington, DC
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| 16-03667 | 09/27/2017 | Claimant(s): Laimutis Prascus
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Midamerica Financial Services.
Respondent Lawyers(s): Bruce Deemer
Arbitrator(s): Steven T. Stern
Hearing Site: Baltimore, MD
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| 17-00319 | 09/21/2017 | Claimant(s): Mark Gierl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Robert J. Scafuri
Hearing Site: Milwaukee, WI
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| 17-00446 | 09/14/2017 | Claimant(s): Theodore Waters Iii
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Leonard Weintraub
Arbitrator(s): William J. Hirsch
Hearing Site: Baltimore, MD
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| 17-00309 | 09/12/2017 | Claimant(s): Chad Staskall
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Jason A. Kempf
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
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| 16-03126 | 09/08/2017 | Claimant(s): David Boike
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Vestax Securities Corporation
Respondent Lawyers(s): David Smitham
Arbitrator(s): Gail K. Barski-McCracken
Hearing Site: Detroit, MI
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| 17-00293 | 09/08/2017 | Claimant(s): Michelle Peng
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 16-03244 | 09/07/2017 | Claimant(s): Craig Ferrantino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A.G. Edwards & Sons., Citigroup Global Markets., Next Financial Group.
Respondent Lawyers(s): Angela A. Turiano, David I. Hantman, John T. Unger
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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| 17-00172 | 09/05/2017 | Claimant(s): Thomas Lindia
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
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| 16-03508 | 08/30/2017 | Claimant(s): Daniel McPherson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Cetera Advisors LLC, Parkland Securities
Respondent Lawyers(s): David G. Smitham, Denis C. Dice, John McClellan
Arbitrator(s): Bernard F. Vail
Hearing Site: Boise, ID
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