| 21-01913 | 05/23/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Robert J. Gregory
Hearing Site: New Orleans, LA
| | |
| 21-02558 | 05/11/2022 | Claimant(s): Brian Parker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): MML Investors Services, National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels, Julie E. Ravis
Arbitrator(s): Jeff Kilgore
Hearing Site: New Orleans, LA
| | |
| 20-03324 | 04/22/2022 | Claimant(s): Ardine Jones, Buddy Jones, Ledger Fisse, Ron Carlos, Sharon Fisse
Claimant Lawyers(s): Ardine Jones, Benjamin Edwards, Buddy Jones, Ledger J. Fisse
Respondent(s): Gilberto Briseno
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Mark C Watler, Richard William Cryar, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
|  | Expungement |
| 21-01898 | 03/17/2022 | Claimant(s): William Crull
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons., FSC Securities Corporation, UBS Financial Services Inc.
Respondent Lawyers(s): Andrew R. Park, Gregory Curley, John Murphy
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
| | |
| 20-00862 | 03/10/2022 | Claimant(s): Joan Highsmith, Lutricia Ward, Estate of Thomas Ward
Claimant Lawyers(s): Alex S Aughtry
Respondent(s): Anthony Mesquit, Eric McSwain, Jennifer Dehart, Fidelity Brokerage Services LLC, Nassim Elias, Fidelity Personal and Workplace Advisors
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Barbara L. Edin, Keith E. Robinson, Arlene Denise Knighten
Hearing Site: New Orleans, LA
| | Expungement |
| 20-01422 | 03/09/2022 | Claimant(s): Lisa Craig, Renee Allie
Claimant Lawyers(s): Jason J. Kane
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman
Arbitrator(s): Mark A. Myers, Stephen Edgar Eisenbraun, Valerie Turner Schexnayder
Hearing Site: New Orleans, LA
| | Expungement |
| 21-01069 | 02/16/2022 | Claimant(s): Warren Gonzales
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Lynne M. Gomez
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
| 21-01304 | 02/11/2022 | Claimant(s): Don Salter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Matthew Bohenek
Arbitrator(s): Sally G. Williams
Hearing Site: New Orleans, LA
| | |
| 20-02970 | 01/24/2022 | Claimant(s): Lars Jensen
Claimant Lawyers(s): Lance McCardle
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): George C. Freeman III
Arbitrator(s): Allan R. Lazor, Devlan Wesley Melancon, Alan Lee Powell
Hearing Site: New Orleans, LA
| | Expungement |
| 19-03051 | 01/21/2022 | Claimant(s): Robert Ratcliff, Ratcliff Investments
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David L. Goldberg
Arbitrator(s): Mark A. Myers, Alan Lee Powell, James Wesley Bearden
Hearing Site: New Orleans, LA
| | $433,000 |
