| 22-00082 | 09/26/2022 | Claimant(s): Daniel Pinkerton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Helena, MT
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| 20-02531 | 02/15/2021 | Claimant(s): Sarah Hussey
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Helena, MT
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| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
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| 13-00900 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Paul Stafford
Respondent Lawyers(s): Paul Edward Stafford
Arbitrator(s): Joseph C. Roberts, Richard L. Warner, Karl Vernon Leaverton
Hearing Site: Helena, MT
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| 12-00792 | 09/05/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Thomas Staples
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
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| 10-01032 | 06/20/2011 | Claimant(s): Clarence Frisbee
Claimant Lawyers(s): Clarence S. Frisbee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Burns
Arbitrator(s): William B. Kirby
Hearing Site: Helena, MT
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| 09-02988 | 01/05/2011 | Claimant(s): Ronee Mills
Claimant Lawyers(s): Michael P. Heringer
Respondent(s): Scottrade.
Respondent Lawyers(s): Narcisa Symank
Arbitrator(s): Gary F. Purpura, Katherine H. O'Neil, William H. King
Hearing Site: Helena, MT
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| 09-03424 | 11/09/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Adrian Matosich, G. Williamson, Morgan Stanley & Co., Martin Coleman, Patrick Lewis, William Claridge
Respondent Lawyers(s): James R. Miller, S. Francis Baldwin
Arbitrator(s): Julian D. Jensen, John F. Harris, Bert P. Krages
Hearing Site: Helena, MT
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| 06-03854 | 11/30/2007 | Claimant(s): Margie Aguirre
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Jeanne M. Bender
Arbitrator(s): Clifford N. Coury, Kevin D. Swenson, James F. Zotter
Hearing Site: Helena, MT
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