| 23-03640 | 10/11/2024 | Claimant(s): Kurt Jackson
Claimant Lawyers(s): Richard A D'Amura
Respondent(s): Kestra Investment Services
Respondent Lawyers(s): Shawn Shook
Arbitrator(s): Katherine Hendricks, Susan C Lushing, Robert Dean McKinley
Hearing Site: Los Angeles, CA
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| 23-03348 | 08/01/2024 | Claimant(s): Natasha Jahn
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Emma M. Tomsick
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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| 23-00700 | 05/22/2024 | Claimant(s): John Kasel
Claimant Lawyers(s): Christopher F. Robertson
Respondent(s): KMS Financial Services., U.S. Bancorp Investments.
Respondent Lawyers(s): Briana Al Taqatqa, Records Custodian
Arbitrator(s): Katherine Hendricks, David William Hickman, Linda Dai-Fong Koa
Hearing Site: Seattle, WA
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| 23-01494 | 04/25/2024 | Claimant(s): Richard Thomas
Claimant Lawyers(s): Alex Padla
Respondent(s): SunAmerica Securities., SII Investments.
Respondent Lawyers(s): Eric A. Michaels, Jennifer R. Cox
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 23-01474 | 03/13/2024 | Claimant(s): Douglas Greenberg
Claimant Lawyers(s): William Bean
Respondent(s): Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 22-00894 | 03/24/2023 | Claimant(s): Shane Vandalen
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Christopher J. Murdoch
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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| 21-02008 | 12/16/2022 | Claimant(s): Beau Crabill
Claimant Lawyers(s): Philip Vujanov
Respondent(s): Sean Casterline, Delta Securities Company
Respondent Lawyers(s): Chelsea Bauer, K. Michael Swann
Arbitrator(s): Katherine Hendricks, Adrian Martinez Madrone, Riya Kuo
Hearing Site: Seattle, WA
|  | Expungement |
| 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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| 22-00249 | 11/07/2022 | Claimant(s): Kyle Dunning
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Dain Rauscher Incorporated
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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| 22-00256 | 10/28/2022 | Claimant(s): Douglas Everett
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services., Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis, Howard M. Klausmeier
Arbitrator(s): Katherine Hendricks
Hearing Site: Portland, OR
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