| 21-01898 | 03/17/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
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| 21-01933 | 03/16/2022 | Claimant(s): Aubrey Rosser III
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Northwestern Mutual Investment
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Richard P. Regan
Hearing Site: Washington, DC
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| 21-01771 | 03/15/2022 | Claimant(s): Glenn Fischer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Etherington
Hearing Site: Richmond, VA
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| 20-02797 | 03/14/2022 | Claimant(s): Kenneth Hill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Laura A. Pizzitola
Arbitrator(s): Richard S. Zaifert
Hearing Site: Raleigh, NC
| | |
| 21-00716 | 03/14/2022 | Claimant(s): Kevin McRae
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citizens Securities.
Respondent Lawyers(s): Amy M. McCallen
Arbitrator(s): Robert E. Anderson
Hearing Site: Providence, RI
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| 21-01911 | 03/10/2022 | Claimant(s): Joseph Weinbauer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Shelley R. Davenport
Arbitrator(s): Gregory G. Gocek
Hearing Site: St. Louis, MO
| | |
| 21-01466 | 03/09/2022 | Claimant(s): David Hohmann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeremy S. Winer
Arbitrator(s): Susanne J. Hollander
Hearing Site: Chicago, IL
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| 21-01636 | 03/08/2022 | Claimant(s): James Dy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Jersey City, NJ
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| 21-01738 | 02/28/2022 | Claimant(s): Mark Gaskill
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MKG Financial Group.
Respondent Lawyers(s): Mark K. Gaskill
Arbitrator(s): James E. Bartels
Hearing Site: Portland, OR
| | |
| 20-00652 | 02/28/2022 | Claimant(s): James W. Miller, Jr.
Claimant Lawyers(s): Stephen O'Donnell
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC, Nicholas King, Paolo Rocca, Strategic Advisers.
Respondent Lawyers(s): Dochtor Kennedy, Kathryn B. Rockwood
Arbitrator(s): Theodore W. Wrobleski, Philip C. Stahl, James William Hoag
Hearing Site: Chicago, IL
|  | Expungement |
