| 18-01117 | 11/14/2018 | Claimant(s): Frank Cuenca
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities Service Network, Llc
Respondent Lawyers(s): Ronald T. Klimas
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 17-03385 | 11/06/2018 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Leandro Palencia
Respondent(s): Mark Riley
Respondent Lawyers(s): Mark Christopher Riley
Arbitrator(s): Evan A. Gould
Hearing Site: San Diego, CA
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| 18-00464 | 11/05/2018 | Claimant(s): Thomas Prentice
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 18-01272 | 10/29/2018 | Claimant(s): Timothy Sullivan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): FSC Securities Corporation, Alamo Capital
Respondent Lawyers(s): Allison Kent-Aster, Bradley A. Fishman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 17-01650 | 10/25/2018 | Claimant(s): Stephen Whitman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley
Respondent Lawyers(s): Alan S. Brodherson, Jeffrey S. Jacobi
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
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| 18-01540 | 10/17/2018 | Claimant(s): Todd Frank
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Mark R. Lee
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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| 18-00541 | 09/19/2018 | Claimant(s): Gabriel Yanez
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Sagepoint Financial., First Wall Street Corp.
Respondent Lawyers(s): Bradley S. Fishman, Charles Lazzaro
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: San Diego, CA
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| 17-02447 | 08/10/2018 | Claimant(s): Ryan Hyslop
Claimant Lawyers(s): Owen Harnett
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Robert F. Saint-Aubin, Sally G. Williams, Kevin L. Wheeler
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
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