| 20-02605 | 06/17/2021 | Claimant(s): Frederick Baerenz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kalos Capital.
Respondent Lawyers(s): John Dillon
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 20-02866 | 05/04/2021 | Claimant(s): Gustavo LaGuarda
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Christina M. Hill
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 20-02869 | 03/09/2021 | Claimant(s): Daniel Uribe
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 20-01203 | 12/15/2020 | Claimant(s): Mark Dolfis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 19-02547 | 03/02/2020 | Claimant(s): Steven Bonetto
Claimant Lawyers(s): John Stewart
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 19-00738 | 11/11/2019 | Claimant(s): David Mehler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Charlotte, NC
| | |
| 17-02676 | 07/12/2019 | Claimant(s): Adriana Fuertes, Camelia Fuertes, Esther Mudafort And Roberto Fuertes
Claimant Lawyers(s): Eric Quetglas Jordan, Luis E. Minana
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Louis Frank Mendez, Roberto C. Quinones-Rivera
Arbitrator(s): Lynne T. Albert, Douglas Earl McLaren, Robert G. Falbisaner
Hearing Site: San Juan, PR
|  | $4,881,880 |
| 17-02064 | 06/04/2019 | Claimant(s): Brenda Sosa Diaz, Brenda D. Sosa & Jose Garcia Ginorio
Claimant Lawyers(s): Osvaldo Carlo Linares
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Douglas Earl McLaren
Hearing Site: San Juan, PR
| | Expungement |
| 18-01094 | 04/03/2019 | Claimant(s): Veralynn Starostecki
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | |
| 18-00134 | 11/02/2018 | Claimant(s): Marc Schliefer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Securities Corporation
Respondent Lawyers(s): Kyle Osting
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
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