| 19-01848 | 02/14/2020 | Claimant(s): Demian Fitzgerald
Claimant Lawyers(s): Harris Freedman
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
| | |
| 19-01978 | 02/04/2020 | Claimant(s): Jeffrey Buck
Claimant Lawyers(s): Erica Harris
Respondent(s): H. Beck., Parkland Securities
Respondent Lawyers(s): Randolph F. Pistor, Richard A. D'Amura
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
| | |
| 19-01205 | 10/31/2019 | Claimant(s): Mark Elston
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Julie Flynn
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
| | |
| 18-04411 | 09/09/2019 | Claimant(s): Kathleen Hobart
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
| | |
| 19-00108 | 08/09/2019 | Claimant(s): Gary Wageman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Bismarck, ND
| | |
| 18-02774 | 04/22/2019 | Claimant(s): Travis Hudak
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Salt Lake City, UT
| | |
| 18-00720 | 12/13/2018 | Claimant(s): Lance Williams
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Securities Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judy Louie, Sarah K. Yates
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Seattle, WA
| | |
| 18-01332 | 11/19/2018 | Claimant(s): Kenneth Meyers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services, UBS Financial Services Inc.
Respondent Lawyers(s): Simon M. Levy, Timothy N. Will
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Reno, NV
| | |
| 18-02347 | 11/06/2018 | Claimant(s): Ji Qiao Liang and Yuet Chun F Liang JT
Claimant Lawyers(s): Sherwin S Louie
Respondent(s): Carmen Iao, Cetera Investment Services LLC.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Honolulu, HI
|  | $1,016 |
| 18-00641 | 10/03/2018 | Claimant(s): Emmanuel Obel
Claimant Lawyers(s): Emmanuel Obel
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): Helen Marinak Blohm, Gary S. DeWeese, Erik John Renga
Hearing Site: San Francisco, CA
| | Expungement |
