| 23-02948 | 05/29/2024 | Claimant(s): Vincent Catalano
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Richard E. Ramirez
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
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| 23-01353 | 02/28/2024 | Claimant(s): David Zane
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): PNC Investments
Respondent Lawyers(s): Angelina T. Evans
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
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| 22-01662 | 12/13/2023 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Bernard J. Kornberg
Respondent(s): Brian Dunn
Respondent Lawyers(s): Joshua Norton
Arbitrator(s): Edward Turner Borer, Louis H Miron, Peter H. Goldberg
Hearing Site: Wilmington, DE
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| 22-02309 | 08/25/2023 | Claimant(s): Harry Orth, Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Louis P. Wagman
Hearing Site: Wilmington, DE
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| 22-02404 | 06/14/2023 | Claimant(s): Kimberlee Orth
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Morton S. Bunis
Hearing Site: Wilmington, DE
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| 22-01863 | 04/04/2023 | Claimant(s): Cheryl Blakey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Santander Securities LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Wilmington, DE
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| 22-02830 | 03/24/2023 | Claimant(s): James Holman
Claimant Lawyers(s): James P. Holman
Respondent(s): Fidelity Brokerage Services LLC, Ryan Furuta
Respondent Lawyers(s): Shawn J. Gebhardt
Arbitrator(s): M. Melvin Shralow
Hearing Site: Wilmington, DE
|  | $300 |
| 22-02455 | 03/10/2023 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Sara Soto
Respondent(s): Michael Boring
Respondent Lawyers(s): Michael Miller Boring
Arbitrator(s): Julian F. Santos
Hearing Site: Wilmington, DE
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| 20-03652 | 11/09/2022 | Claimant(s): Intellivest Securities.
Claimant Lawyers(s): Daniel H. Kolber
Respondent(s): Gratitude Management LLC, The Builders Fund
Respondent Lawyers(s): John J. Siciliano
Arbitrator(s): David Paul Clark, Julie K. Chapin, Richard Pearce Moultrie
Hearing Site: Wilmington, DE
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| 21-03002 | 09/01/2022 | Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Linda J. Baer
Hearing Site: Wilmington, DE
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