| 21-02245 | 02/15/2022 | Claimant(s): Aftab Sandhu
Claimant Lawyers(s): Aftab Sandhu
Respondent(s): Robinhood Financial
Respondent Lawyers(s): Jonathan J. Brennan
Arbitrator(s): Edward W. Morris
Hearing Site: Jersey City, NJ
|  | $2,500 |
| 20-03680 | 02/14/2022 | Claimant(s): Thomas Spires
Claimant Lawyers(s): Larry M. Keller
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Shannon L.C. Ammon
Arbitrator(s): Lorrie E Whitfield, Barry Allen Wells, Jaclyn Senior Brown
Hearing Site: Philadelphia, PA
| | |
| 21-01843 | 02/14/2022 | Claimant(s): Ricardo Eboli-Kodesh
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Rey F. Medina Velez
Arbitrator(s): Christopher J. Klein
Hearing Site: San Juan, PR
| | |
| 21-01946 | 02/14/2022 | Claimant(s): Travis Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Principal Financial Securities.
Respondent Lawyers(s): Tanya J. McCann
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 21-02277 | 02/14/2022 | Claimant(s): Jeffrey Rosenblum
Claimant Lawyers(s): Stephan Louviere
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Jeffrey Alan Helewitz
Hearing Site: Jersey City, NJ
| | |
| 20-03998 | 02/14/2022 | Claimant(s): Erwin Knapp, Linda Kelderhouse, Erwin Knapp IRA, Erwin A. Knapp & Marga Knapp JTWROS, Linda Kelderhouse TOD
Claimant Lawyers(s): Matt Wolper
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Briana K. Huffer
Arbitrator(s): William H. Morley, John Michael Richardson, Joyce Diane Campbell Priveterre
Hearing Site: New York, NY
| | Expungement |
| 16-03296 | 02/11/2022 | Claimant(s): Daryl Allen, Frank Hogan, Langston Turner
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Stephen M. Kramarsky
Arbitrator(s): David C. Redford, Michael S. Yauch, Lewis Kenneth Harley
Hearing Site: Houston, TX
| | |
| 20-00518 | 02/11/2022 | Claimant(s): Brok-Alan Woodward-Griffith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Jim Geiger
Hearing Site: Manchester, NH
| | |
| 20-01977 | 02/11/2022 | Claimant(s): Bryan Montemurro
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Philip J. Glick
Hearing Site: Kansas City, MO
| | |
| 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
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