| 17-03415 | 02/27/2019 | Claimant(s): Daniel Ruediger
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 18-00941 | 02/14/2019 | Claimant(s): Roger Blythe
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Bradley A. Fishman
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 17-01659 | 02/16/2018 | Claimant(s): Douglas Eikenberry
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 15-00170 | 08/25/2015 | Claimant(s): Brian Nelson
Claimant Lawyers(s): David E. Robbins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Rebecca J. Nelson
Arbitrator(s): Robert S. Banks, Michael D. Weiner, Katherine H. O'Neil
Hearing Site: Portland, OR
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| 12-03304 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Shari Nelson
Respondent Lawyers(s): Shari Kay Nelson
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 12-02245 | 04/03/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Brown
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Joseph W. Cheek, Katherine H. O'Neil, John McGown
Hearing Site: Boise, ID
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| 12-02247 | 04/03/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Burton
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Boise, ID
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| 11-04314 | 05/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 09-02988 | 01/05/2011 | Claimant(s): Ronee Mills
Claimant Lawyers(s): Michael P. Heringer
Respondent(s): Scottrade.
Respondent Lawyers(s): Narcisa Symank
Arbitrator(s): Gary F. Purpura, Katherine H. O'Neil, William H. King
Hearing Site: Helena, MT
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