| 23-02105 | 11/02/2023 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Financing
Claimant Lawyers(s): Haley Morrison
Respondent(s): Joseph Di Peri
Respondent Lawyers(s): Joseph J Di Peri
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
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| 21-02227 | 11/22/2022 | Claimant(s): Erin Reeve
Claimant Lawyers(s): Isaac Ruiz
Respondent(s): Kevin Skogen, Mainspring Wealth Advisors LLC
Respondent Lawyers(s): Lisanne M. Butterfield
Arbitrator(s): Joseph C. Roberts, Katherine Hendricks, Timothy Cooke Vail
Hearing Site: Seattle, WA
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| 21-01416 | 01/06/2022 | Claimant(s): Justin Vaccaro
Claimant Lawyers(s): Brian Luther
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): Joseph C. Roberts
Hearing Site: Portland, OR
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| 20-03420 | 05/12/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Jameson Shin
Respondent Lawyers(s): Jameson Jee Won Shin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 19-02515 | 05/27/2020 | Claimant(s): Heather Lewis
Claimant Lawyers(s): Trent M Latta
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Joseph C. Roberts, Robert E. Meston, Kenneth James Pedersen
Hearing Site: Seattle, WA
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| 19-03204 | 03/18/2020 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Christopher Canorro
Respondent Lawyers(s): Christopher Paul Canorro
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 18-04326 | 07/22/2019 | Claimant(s): Denise Leong
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Nicholas Y. Lin
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 18-03745 | 05/03/2019 | Claimant(s): Paul Doak
Claimant Lawyers(s): Nicholas J Dale
Respondent(s): Cambridge Investment Research., Mony Securities Corporation
Respondent Lawyers(s): Andrea Shafer, Annet K. Ebright
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 18-03961 | 04/02/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Bruce Lewitas
Respondent(s): Matthew DiNinno
Respondent Lawyers(s): Matthew Patrick DiNinno
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 18-00820 | 06/22/2018 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Andrew Lawrence
Respondent Lawyers(s): Andrew Michael Lawrence
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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