| 19-00142 | 08/15/2019 | Claimant(s): Sima Alefi
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 18-03840 | 08/09/2019 | Claimant(s): Colin Hawkes, Stacy Oster
Claimant Lawyers(s): Valerie I. Holder
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew F. Renna
Arbitrator(s): Sterling N. Frost
Hearing Site: Seattle, WA
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| 18-03839 | 04/22/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jeanette E Dennis
Respondent(s): Keith Guy
Respondent Lawyers(s): Keith Lee Guy
Arbitrator(s): Sterling N. Frost
Hearing Site: Portland, OR
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| 18-00989 | 04/15/2019 | Claimant(s): Richard Allison
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 17-02289 | 04/09/2019 | Claimant(s): Diane Noia, Michael Noia
Claimant Lawyers(s): Deanna C Besbekos-LaPage
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
|  | Expungement |
| 18-00094 | 02/13/2019 | Claimant(s): Bradley Glasman
Claimant Lawyers(s): Michael Bessette
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01889 | 02/01/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Justin Harris
Respondent Lawyers(s): Justin J. Harris
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01738 | 01/14/2019 | Claimant(s): Richard Maxey
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America., Valic Financial Advisors.
Respondent Lawyers(s): Chad Weaver, Cora E. MacLean
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-00797 | 11/19/2018 | Claimant(s): Jeff Maas
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 18-01958 | 09/19/2018 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Michael Nunez
Respondent Lawyers(s): Michael Ramon Nunez
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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