| 20-03431 | 11/05/2021 | Claimant(s): Huey Luu
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Francis Vincent Dane
Hearing Site: Seattle, WA
| | |
| 20-02759 | 05/05/2021 | Claimant(s): Daniel Baumgartel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor Trafton
Arbitrator(s): Francis Vincent Dane
Hearing Site: Seattle, WA
| | |
| 17-03016 | 08/24/2018 | Claimant(s): Gary Grenley, Gary Grenley IRA Account
Claimant Lawyers(s): Gary I. Grenley
Respondent(s): National Securities Corporation, Tuan (Peter) Phan
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Peter H. Daly, Francis Vincent Dane, Lawrence William Andrews
Hearing Site: Portland, OR
|  | $0 |
| 14-00096 | 03/20/2015 | Claimant(s): Kathy Hewkin, Thomas Hewkin, Kathy S. Hewkin IRA, Thomas J. Hewkin IRA
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): Kortney Farmer
Arbitrator(s): Daniel B. MacLeod, Nina Vallion, Francis Vincent Dane
Hearing Site: Portland, OR
| | $667,422 |
