| 16-03327 | 07/14/2017 | Claimant(s): Morgan Stanley, Morgan Stanley SB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Michael McGraw
Respondent Lawyers(s): Michael James McGraw
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 17-00567 | 07/14/2017 | Claimant(s): Julian Trobe
Claimant Lawyers(s): Joan H. Lowenstein
Respondent(s): Hunter Wise Securities
Respondent Lawyers(s): William A. Owen
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
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| 16-03192 | 07/10/2017 | Claimant(s): Charles Reinhold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): HBW Securities LLC
Respondent Lawyers(s): Barney Hellenbrand
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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| 16-01788 | 06/30/2017 | Claimant(s): Ryan Flynn
Claimant Lawyers(s): Kristopher P Diulio
Respondent(s): Edward Jones
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Harvey C. Flodin, Robert B. Hansohn, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
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| 16-02347 | 06/22/2017 | Claimant(s): Jane An
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): George L. Tindall
Hearing Site: Los Angeles, CA
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| 16-01550 | 06/19/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Adam A. Brown
Respondent(s): Edison Noboa
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): Victoria E. Johnson, Thomas R. Watkins, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
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| 16-03111 | 06/12/2017 | Claimant(s): Richard Bertain
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane, Lesley V. Tepper
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 16-00546 | 06/01/2017 | Claimant(s): Farid Morim
Claimant Lawyers(s): Farid Morim
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeff Wortman
Arbitrator(s): Steven Gourley, Jack R. Goetz, Kathleen Smith Adams
Hearing Site: Los Angeles, CA
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| 16-03211 | 06/01/2017 | Claimant(s): Jeffrey Horn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 16-02715 | 05/25/2017 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Samuel Y. Edgerton
Respondent(s): Johan Frisell
Respondent Lawyers(s): Johan Henrik Frisell
Arbitrator(s): Michael Harrison
Hearing Site: Los Angeles, CA
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