| 20-02471 | 08/24/2022 | Claimant(s): Matthew Arbo
Claimant Lawyers(s): Robert G. Heim
Respondent(s): ProEquities.
Respondent Lawyers(s): Stephen C. Jackson
Arbitrator(s): Dallas Whitney Coffman, Richard W. Dissen, William Norton
Hearing Site: Augusta, ME
| | |
| 20-03596 | 02/22/2022 | Claimant(s): Sherita Booker
Claimant Lawyers(s): Sherita Quana Booker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kathryn B. Rockwood
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Karl Strohbehn
Hearing Site: Cleveland, OH
|  | $0 |
| 20-00839 | 12/28/2021 | Claimant(s): Bruce Rogers, Kent Rogers
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Dinosaur Financial Group, L.L.C
Respondent Lawyers(s): M. William Munno
Arbitrator(s): Amelia F. Adams, Richard W. Dissen, Allen M. Kerpan
Hearing Site: Louisville, KY
| | $0 |
| 19-03654 | 11/15/2021 | Claimant(s): Clinton Rinehart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard W. Dissen
Hearing Site: Cincinnati, OH
| | |
| 21-00676 | 11/15/2021 | Claimant(s): Serdar Ayman
Claimant Lawyers(s): Serdar Ayman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | $0 |
| 20-04121 | 10/20/2021 | Claimant(s): Shelby Fink
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Dissen
Hearing Site: Louisville, KY
| | |
| 20-02462 | 04/09/2021 | Claimant(s): Ahmiel Baum
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lehman Brothers Inc
Respondent Lawyers(s): Jeffrey S. Margolin
Arbitrator(s): Richard W. Dissen
Hearing Site: Pittsburgh, PA
| | |
| 20-02891 | 04/01/2021 | Claimant(s): Eric Haubert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Richard W. Dissen
Hearing Site: Columbus, OH
| | |
| 20-00803 | 10/30/2020 | Claimant(s): Thomas Shepard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Richard W. Dissen
Hearing Site: Augusta, ME
| | |
| 20-00468 | 10/30/2020 | Claimant(s): Tracey Drabant
Claimant Lawyers(s): Tracey Drabant
Respondent(s): Jonathan Kuhn, Allegheny Investments, Ltd.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Jim Geiger, Richard W. Dissen, Mary Kathleen Coleman
Hearing Site: Pittsburgh, PA
| | $5,000 |
