| 20-00349 | 07/10/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): John B. Clark
Respondent(s): James Shafferman
Respondent Lawyers(s): James Frederick Shafferman
Arbitrator(s): Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | |
| 20-00297 | 05/29/2020 | Claimant(s): Theodore Longo
Claimant Lawyers(s): Jennifer Willey
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Lynne M. Gomez, Brian P. Jakes, Eric M. Schorr
Hearing Site: New Orleans, LA
| | |
| 19-02566 | 04/07/2020 | Claimant(s): Maria Freeman
Claimant Lawyers(s): Alex S. Aughtry
Respondent(s): LPL Financial LLC, Raymond Daigle, Robert Comeaux, Walter Bond, Commonwealth Financial Network, Comeaux Bond Daigle
Respondent Lawyers(s): Donna Phillips Currault, John W. Joyce
Arbitrator(s): David A. Schuler, Keith E. Robinson, Ralph Hamilton Schofield
Hearing Site: New Orleans, LA
|  | $600 |
| 19-02720 | 03/26/2020 | Claimant(s): Craig Cheramie
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HD Vest Investment Services
Respondent Lawyers(s): Veronica Cordova
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
| | |
| 19-01174 | 03/25/2020 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kovack Securities Inc, FSC Securities Corporation
Respondent Lawyers(s): Amy S. Towle, James V. Noblett
Arbitrator(s): Mark C Watler
Hearing Site: New Orleans, LA
| | |
| 18-00307 | 03/19/2020 | Claimant(s): Norma Ann Farmer Estate
Claimant Lawyers(s): William Kulick
Respondent(s): Bobby Conville, Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Robert J. Gregory, James Kee Irvin, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
| 19-01376 | 01/23/2020 | Claimant(s): Michael Boagni
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): C. Sumpter Logan
Hearing Site: New Orleans, LA
| | |
| 17-03377 | 01/06/2020 | Claimant(s): Danya Heroman
Claimant Lawyers(s): Michael M. Thompson
Respondent(s): Robert Smith, Cetera Investment Services LLC
Respondent Lawyers(s): Benjamin J. Biard
Arbitrator(s): Frank M Romano
Hearing Site: New Orleans, LA
| | Dismissed by Rule 12212(c) |
| 19-01113 | 12/12/2019 | Claimant(s): Stanley Keyes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., Pan-American Financial Advisers
Respondent Lawyers(s): Daniel Lagrone, Robert M. Rudnicki
Arbitrator(s): Brian P. Jakes
Hearing Site: New Orleans, LA
| | |
| 19-01080 | 10/31/2019 | Claimant(s): Benjamin Domingue
Claimant Lawyers(s): Michael O'Gara
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Brian James Tagtmeier
Hearing Site: New Orleans, LA
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