| 18-00325 | 07/31/2019 | Claimant(s): Daryl Cole
Claimant Lawyers(s): Michael Bessette
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Neil S. Jasper
Hearing Site: Los Angeles, CA
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| 18-02905 | 06/18/2019 | Claimant(s): Alfred Matarazzo
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): FSC Securities Corporation
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Philadelphia, PA
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| 18-03545 | 06/05/2019 | Claimant(s): Heath Abernathy
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): James W. Kerr
Hearing Site: Dallas, TX
| | |
| 18-02752 | 04/25/2019 | Claimant(s): Byron Holz
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): American General Securities Incorporated
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Richard R. Logsdon
Hearing Site: Tampa, FL
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| 18-01094 | 04/03/2019 | Claimant(s): Veralynn Starostecki
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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| 18-02627 | 02/22/2019 | Claimant(s): Thomas Kudarauskas
Claimant Lawyers(s): Benjamin Biard
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Harvey R. Linder
Hearing Site: Atlanta, GA
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| 18-00941 | 02/14/2019 | Claimant(s): Roger Blythe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | |
| 18-01092 | 11/20/2018 | Claimant(s): Linda Langille, Robinson Langille
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Royal Alliance Associates., Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Bradley A. Fishman, Peter J. McElligott
Arbitrator(s): Dean J. Dietrich, Clifford A. Threlkeld, Martin Joel Fassler
Hearing Site: San Francisco, CA
|  | Dismissed by Rule 12206 |
| 18-01682 | 11/12/2018 | Claimant(s): Christopher Quebedeau
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, National Planning Corporation
Respondent Lawyers(s): Bradley A. Fishman, Scott R. Forbush
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
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| 18-01272 | 10/29/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Alamo Capital
Respondent Lawyers(s): Allison Kent-Aster, Bradley A. Fishman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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