| 22-02791 | 01/22/2024 | Claimant(s): Thomas Curtin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
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| 23-01215 | 01/22/2024 | Claimant(s): Brent Turner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): QA3 Financial Corp., Transamerica Financial Advisors
Respondent Lawyers(s): Stephen K. Wild, Susan D. Duff
Arbitrator(s): Karl A. Vogeler
Hearing Site: Nashville, TN
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| 23-01365 | 01/18/2024 | Claimant(s): Michelle Anthony
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Charlton Young, Neal S. Robb
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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| 23-01340 | 01/12/2024 | Claimant(s): Jack Thacker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Center Street Securities.
Respondent Lawyers(s): Unbo (Bob) Chung
Arbitrator(s): Michael J. Ahlstrom, Jeffrey S. Fannon, Eric Matthew Bittner
Hearing Site: Nashville, TN
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| 23-01286 | 01/11/2024 | Claimant(s): Jaime Benedetti
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): John Peter Purcell
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 23-00514 | 01/11/2024 | Claimant(s): Gregory Harrison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Little Rock, AR
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| 23-00226 | 01/10/2024 | Claimant(s): Terry Hastings
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Christopher F. Robertson
Arbitrator(s): Allan R. Lazor
Hearing Site: New Orleans, LA
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| 23-01651 | 01/10/2024 | Claimant(s): Jarod Tibbetts
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Country Capital Management Company
Respondent Lawyers(s): John O'Brien
Arbitrator(s): Robert J. Gregory
Hearing Site: Kansas City, MO
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| 23-01339 | 01/08/2024 | Claimant(s): Brennan Mayfield
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Shannon M. Wheaton
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
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| 23-00333 | 01/08/2024 | Claimant(s): Brian Gardiner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cabot Lodge Securities LLC
Respondent Lawyers(s): James Baehr
Arbitrator(s): Nancy E. Watters
Hearing Site: Baltimore, MD
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