| 20-02393 | 03/11/2021 | Claimant(s): Brian Drolet
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Trenten P. Bausch
Arbitrator(s): Robert J. Gregory
Hearing Site: Dallas, TX
| | |
| 20-02408 | 03/11/2021 | Claimant(s): GEORGE EWINS, RICHARD KOWALSKI
Claimant Lawyers(s): Robert J. Moses
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert Rudnicki
Arbitrator(s): Louis H Miron
Hearing Site: Montpelier, VT
| | |
| 20-02615 | 03/11/2021 | Claimant(s): Dwight Emanuelson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joelle A. Simms
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | |
| 20-02900 | 03/11/2021 | Claimant(s): Christopher Larochelle
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | |
| 20-02988 | 03/11/2021 | Claimant(s): Troy Tremblay
Claimant Lawyers(s): Bentley P. Stansbury
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Mike West
Arbitrator(s): Edith N. Dinneen
Hearing Site: Los Angeles, CA
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| 20-03035 | 03/11/2021 | Claimant(s): Andrew Arnold
Claimant Lawyers(s): Brian Luther
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): James A. McIntosh
Hearing Site: Louisville, KY
| | |
| 17-02966 | 03/11/2021 | Claimant(s): Turner Bynum
Claimant Lawyers(s): Turner Edward "Ted" Bynum
Respondent(s): Stephen Dellelo, Next Financial Group.
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): Amy Lampert, Gene M. Bauer
Hearing Site: Boston, MA
|  | Expungement |
| 19-03679 | 03/10/2021 | Claimant(s): Kyra Kizirian
Claimant Lawyers(s): Kyra L Kizirian
Respondent(s): LPL Financial LLC, Eric Young, Keith Schmidt
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lester Friedman, Jonathan H. Krotinger, Wendi Lee Eckardt
Hearing Site: San Francisco, CA
| | |
| 20-02727 | 03/10/2021 | Claimant(s): Roger Camp
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Susan Romano
Hearing Site: New York, NY
| | |
| 19-03803 | 03/10/2021 | Claimant(s): Susan Godown, Susan J. Godown JTTEN
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Karimu F. Hill-Harvey, Natalie Paskiewicz, Jason Paul Ramos
Hearing Site: Tampa, FL
| | Expungement |
