16-03720 | 07/25/2017 | Claimant(s): Nihaal Rao Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ
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16-03459 | 07/20/2017 | Claimant(s): Carl Pritchett Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley, Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier, Kimberly J. Gustafson Arbitrator(s): Harvey R. Linder Hearing Site: Atlanta, GA
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16-03567 | 07/11/2017 | Claimant(s): Phillip Scott Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Randi Perry Spallina Arbitrator(s): Laurel Littman Gothelf Hearing Site: San Francisco, CA
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16-03192 | 07/10/2017 | Claimant(s): Charles Reinhold Claimant Lawyers(s): Dochtor Kennedy Respondent(s): HBW Securities LLC Respondent Lawyers(s): Barney Hellenbrand Arbitrator(s): Richard J. Stall Hearing Site: Los Angeles, CA
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16-03341 | 07/03/2017 | Claimant(s): Steven Case Claimant Lawyers(s): Dochtor Kennedy Respondent(s): National Planning Corporation, Voya Financial Advisors. Respondent Lawyers(s): Mark Sides, Scott R. Forbush Arbitrator(s): Lee Hornberger Hearing Site: Detroit, MI
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16-03194 | 06/26/2017 | Claimant(s): Dale Miller Claimant Lawyers(s): Dochtor Kennedy Respondent(s): UBS Financial Services Inc., Citigroup Global Markets Inc. Respondent Lawyers(s): David I. Hantman, Valerie I. Holder Arbitrator(s): Philip Aaron Tymon Hearing Site: Seattle, WA
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16-02347 | 06/22/2017 | Claimant(s): Jane An Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard M. Klausmeier Arbitrator(s): George L. Tindall Hearing Site: Los Angeles, CA
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16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Piper Jaffray & Co. Respondent Lawyers(s): John Geelan Arbitrator(s): Michael Lancaster Garcia Hearing Site: Seattle, WA
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16-03055 | 06/12/2017 | Claimant(s): Nancy Bello Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Lacy M. Triplett Arbitrator(s): Madelon M. Rosenfeld Hearing Site: New York, NY
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16-03111 | 06/12/2017 | Claimant(s): Richard Bertain Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc. Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper Arbitrator(s): David J. Anderson Hearing Site: Los Angeles, CA
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