| 20-02994 | 06/15/2021 | Claimant(s): Jodi Miller-Hammes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Minneapolis, MN
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| 20-02700 | 06/14/2021 | Claimant(s): Wayne Wagner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Louis H Miron
Hearing Site: Wilmington, DE
| | |
| 20-02920 | 06/14/2021 | Claimant(s): Tony Krvaric
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert E. Jenks
Hearing Site: San Diego, CA
| | |
| 20-02934 | 06/14/2021 | Claimant(s): David Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc One Securities Corporation
Respondent Lawyers(s): Gregory Johnson
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | |
| 20-02963 | 06/14/2021 | Claimant(s): Shannon Klug
Claimant Lawyers(s): Louis Tambaro
Respondent(s): Royal Alliance Associates., Hantz Financial Services.
Respondent Lawyers(s): David J. Shea, Eric A. Michaels
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 20-02984 | 06/14/2021 | Claimant(s): Bradley Cooperman
Claimant Lawyers(s): Frances Menzer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): James H. David
Arbitrator(s): Randy R. Maher
Hearing Site: San Diego, CA
| | |
| 20-03097 | 06/14/2021 | Claimant(s): Michael Calvin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): Brian James Tagtmeier
Hearing Site: Houston, TX
| | |
| 20-03124 | 06/14/2021 | Claimant(s): Thomas Conway
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
|  | Expungement |
| 20-02349 | 06/14/2021 | Claimant(s): James Gallagher Rollover IRA, James and Donna Gallagher
Claimant Lawyers(s): James J. Gallagher
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Veronica Ann Williams, Howard Alan Grinsberg, Phillip Michael Brown
Hearing Site: Jersey City, NJ
| | $0 |
