| 20-02700 | 06/14/2021 | Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Louis H Miron
Hearing Site: Wilmington, DE
| | |
| 20-02757 | 05/21/2021 | Claimant(s): Thomas O'Rourke
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-03455 | 05/05/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Joseph Stengel
Respondent Lawyers(s): Joseph Steven Stengel
Arbitrator(s): Edward W. Morris
Hearing Site: Wilmington, DE
| | |
| 20-01948 | 04/13/2021 | Claimant(s): Daniel Freebery
Claimant Lawyers(s): Daniel P. Freebery
Respondent(s): Jeffery Paytas, Fidelity Brokerage Services LLC, Nathaniel Wright
Respondent Lawyers(s): Joel M. Everest, Noah D. Sorkin
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
|  | $300 |
| 20-02374 | 03/11/2021 | Claimant(s): Caroline Girgis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
| | |
| 20-02280 | 01/22/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Wright
Respondent Lawyers(s): Christopher Thomas Wright
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-01793 | 12/23/2020 | Claimant(s): Todd Roselle
Claimant Lawyers(s): Brian Luther
Respondent(s): Cambridge Investment Research., Securian Financial Services.
Respondent Lawyers(s): Richard H. Kuhlman, Richard J. Babnick
Arbitrator(s): Patrick R. Westerkamp
Hearing Site: Wilmington, DE
| | |
| 20-01015 | 12/17/2020 | Claimant(s): Richard Braverman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Robert E. Anderson
Hearing Site: Wilmington, DE
| | |
| 20-02296 | 12/10/2020 | Claimant(s): Dmytro Garazha
Claimant Lawyers(s): Dennis Moskal
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Diane Ciccone
Hearing Site: Wilmington, DE
| | $300 |
| 20-01034 | 12/09/2020 | Claimant(s): Samuel Monchik
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Geneos Wealth Management.
Respondent Lawyers(s): James Noblett, Victoria H. Buter
Arbitrator(s): Guillermo L. Bosch
Hearing Site: Wilmington, DE
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