| 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
| | |
| 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
| | |
| 23-02088 | 12/19/2023 | Claimant(s): Eric Wilkison
Claimant Lawyers(s): Eric S Wilkison
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Richard J. Davis
Arbitrator(s): James A. McIntosh
Hearing Site: Nashville, TN
|  | $0 |
| 23-01573 | 11/27/2023 | Claimant(s): Joe Franklin
Claimant Lawyers(s): Bryan Ward
Respondent(s): LPL Financial LLC, Raymond James & Associates.
Respondent Lawyers(s): Laura Ruiz Rivera, Matthew Bohenek
Arbitrator(s): Stuart K. Furman, Douglas Charles Weinstein, Sara Francis Hoover
Hearing Site: Nashville, TN
| | |
| 22-00919 | 11/01/2023 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Roxanna V Gonzalez
Respondent(s): Mark Joyner
Respondent Lawyers(s): Amy C. Johnson
Arbitrator(s): Irwin Venick, Michael Edward Collins, Douglas Charles Weinstein
Hearing Site: Nashville, TN
| | |
| 23-00057 | 08/04/2023 | Claimant(s): Matthew Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Nashville, TN
| | |
| 23-01495 | 07/24/2023 | Claimant(s): Benjamin Walker
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard S. Zaifert
Hearing Site: Nashville, TN
| | |
| 22-02657 | 06/29/2023 | Claimant(s): Justin Goodbread
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securian Financial Services.
Respondent Lawyers(s): Lisa Stopfer
Arbitrator(s): John Winslow Griesser
Hearing Site: Nashville, TN
| | |
| 22-01476 | 02/17/2023 | Claimant(s): Matthew Rose
Claimant Lawyers(s): Kyle Johnson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brendan T. Killeen
Arbitrator(s): Robert H. Putnam
Hearing Site: Nashville, TN
| | |
| 22-00823 | 12/14/2022 | Claimant(s): Anthony Cosey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American General Equity Services Corp., Securities Service Network, Silver Oak Securitiesorporated
Respondent Lawyers(s): Doug Baxley, Jennifer R. Cox, Michael S. Cargnel
Arbitrator(s): Harvey R. Linder
Hearing Site: Nashville, TN
| | |
