| 23-01545 | 11/14/2023 | Claimant(s): Brian Singleton
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Cuna Brokerage Services.
Respondent Lawyers(s): Michael T. West, Sandra D. Grannum
Arbitrator(s): Herbert Liberman
Hearing Site: Boise, ID
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| 19-00413 | 10/04/2019 | Claimant(s): Robert Rose
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 19-00014 | 09/12/2019 | Claimant(s): Derek Myron
Claimant Lawyers(s): Frances Menzer
Respondent(s): Caplink Securities
Respondent Lawyers(s): Scott L. Dahle
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 19-00381 | 09/06/2019 | Claimant(s): Jeff Menning
Claimant Lawyers(s): Frances Menzer
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 18-02451 | 02/05/2019 | Claimant(s): Richard Potashner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Herbert Liberman
Hearing Site: Salt Lake City, UT
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| 18-01196 | 12/18/2018 | Claimant(s): Scott Hood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 18-00398 | 09/27/2018 | Claimant(s): Young Chung
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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| 18-00959 | 07/31/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jonathan Chang
Respondent Lawyers(s): Jonathan J. Chang
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 17-01545 | 02/01/2018 | Claimant(s): George Melbrod, Scott Melbrod
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Gunnar Thowsen, Herbert Liberman, Robert F. Saint-Aubin
Hearing Site: San Diego, CA
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| 17-00881 | 12/07/2017 | Claimant(s): Alvin Sanders
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
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