| 21-01120 | 04/04/2022 | Claimant(s): Brian Decker
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Pacific West Securities.
Respondent Lawyers(s): Corporate Officer, Jennifer E. Novoselsky
Arbitrator(s): Stephany Adriene Watson, Joan M. Schroeder, Charles Scott McClellan
Hearing Site: Seattle, WA
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| 20-02736 | 06/15/2021 | Claimant(s): Damian Dering
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
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| 20-01591 | 04/07/2021 | Claimant(s): Richard Baer
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Lefcourt Financial Group.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
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| 20-00434 | 09/11/2020 | Claimant(s): Ryan Haslam
Claimant Lawyers(s): Frances Menzer
Respondent(s): New England Securities
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
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| 19-02740 | 03/17/2020 | Claimant(s): Don Rudolph
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, UVEST Financial Services Group.
Respondent Lawyers(s): Corporate Officer, Sara B. Davis
Arbitrator(s): Harvey R. Linder
Hearing Site: Raleigh, NC
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| 18-03977 | 08/15/2019 | Claimant(s): Ting O'Connor
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Pyramid Financial Corp.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 19-00213 | 06/13/2019 | Claimant(s): David James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Marc Kalish
Hearing Site: Salt Lake City, UT
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| 18-01556 | 01/14/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Salt Lake City, UT
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| 18-01109 | 01/09/2019 | Claimant(s): Michael Owen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): GunnAllen Financial
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Salt Lake City, UT
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| 12-01407 | 04/19/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jesse B. Simpson
Respondent(s): Timothy Moran, Private Client
Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran
Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
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