| 17-03107 | 06/19/2018 | Claimant(s): Daniel Dodgen
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Pamela Rosado
Arbitrator(s): Nancy J. Spieczny
Hearing Site: San Diego, CA
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| 17-02492 | 04/24/2018 | Claimant(s): Fred Hamsayeh
Claimant Lawyers(s): Owen Harnett
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Shelley Davenport
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
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| 17-02859 | 02/28/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N Will
Respondent(s): Theodore Tadeusiak
Respondent Lawyers(s): Theodore James Tadeusiak
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 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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| 16-02139 | 12/18/2017 | Claimant(s): David Hughes
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Kestra Investment Services.
Respondent Lawyers(s): Kelsey L. Hotchkiss
Arbitrator(s): Joseph J. Woodford, Brian William Heublein, Thomas L. Marshall
Hearing Site: San Diego, CA
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| 17-00727 | 12/11/2017 | Claimant(s): Richard French
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Leslie V. Tepper
Arbitrator(s): Michael E. Rohde
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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| 17-00555 | 11/03/2017 | Claimant(s): J. Coghlan
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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| 17-00784 | 10/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lawrence Palme
Respondent Lawyers(s): Lawrence Edward Palme
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 17-00509 | 10/13/2017 | Claimant(s): Scott Hood
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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