| 23-00901 | 01/11/2024 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Roger A. Geddes
Hearing Site: Albuquerque, NM
| | |
| 23-00585 | 11/13/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jeremy Wooden
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 23-00346 | 10/27/2023 | Claimant(s): James LaNeave
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Richard James Igou
Hearing Site: Richmond, VA
| | |
| 23-00584 | 09/25/2023 | Claimant(s): Rohin Ullberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SII Investments.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Michael F. Jordan
Hearing Site: Chicago, IL
| | |
| 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
| | |
| 22-00830 | 06/22/2023 | Claimant(s): Donald Baxter
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FFP Securities., Primeline Securities Corp., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Fred F. Liebau, Jeremy Wooden
Arbitrator(s): Joseph Neal Richardson
Hearing Site: Wichita, KS
| | |
| 21-01288 | 03/13/2023 | Claimant(s): Robert Thompson
Claimant Lawyers(s): Robert Brendan Thompson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Gary B. Deutsch, Michael Alan Ellis, Laurie Ann Malone
Hearing Site: Cleveland, OH
|  | $37,000 |
| 20-02237 | 08/16/2022 | Claimant(s): Mark Schultz, Wealth Management Trust
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 20-03532 | 06/15/2022 | Claimant(s): Jeffrey Kane, Marsha Kane, Jeffrey Kane IRA, Jeffrey Kane Roth IRA, Marsha Kane IRA, Marsha Kane Roth IRA, Kane Family Trust
Claimant Lawyers(s): Michael S. Hill
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | Expungement |
| 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
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