| 19-03453 | 07/10/2020 | Claimant(s): Kevin Pentz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Daniel B. MacLeod
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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| 18-03155 | 02/03/2020 | Claimant(s): Erinn Ford
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Philip A. Pizelo
Arbitrator(s): Frederick B. Mueller, Charles Scott McClellan, Ian Stephen Birk
Hearing Site: Seattle, WA
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| 19-01412 | 12/19/2019 | Claimant(s): Jeffrey Cashman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): David J. Lehr
Arbitrator(s): David William Hickman
Hearing Site: Seattle, WA
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| 19-01534 | 12/13/2019 | Claimant(s): Jason Trichler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Kenneth James Pedersen
Hearing Site: Seattle, WA
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| 19-00610 | 12/10/2019 | Claimant(s): Daniel Adams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Metropolitan Investment Securities.
Respondent Lawyers(s): Corporate Office
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
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| 19-01549 | 12/03/2019 | Claimant(s): Earl Hartley
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): James Noblett
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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| 19-00392 | 11/29/2019 | Claimant(s): Joseph Hong
Claimant Lawyers(s): Joseph Hong
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): John J. Fitzpatrick, Joan M. Schroeder, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
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| 19-00739 | 10/24/2019 | Claimant(s): Brian Lockett, Morgan Arford
Claimant Lawyers(s): John A. Bender
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Philip E. Cutler
Hearing Site: Seattle, WA
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