| 19-00216 | 09/30/2019 | Claimant(s): Clayton Shum
Claimant Lawyers(s): Harris M. Freedman
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Jill Settlemyer
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 19-00047 | 08/29/2019 | Claimant(s): Mark Wilburn
Claimant Lawyers(s): Frances Menzer
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-02055 | 06/18/2019 | Claimant(s): David Hollander
Claimant Lawyers(s): Edward S. Zusman
Respondent(s): Stephen Hom
Respondent Lawyers(s): Marnie C. Lambert
Arbitrator(s): Laurel Littman Gothelf, Alden Sharp Adkins, Shahla F. Ali
Hearing Site: San Francisco, CA
|  | Expungement |
| 18-01168 | 01/22/2019 | Claimant(s): Brandi Stahl
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Andrew S. Azarmi
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 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
| | |
| 18-01162 | 11/29/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
| | |
| 18-01230 | 11/15/2018 | Claimant(s): Shane Brisbin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick S. Christensen
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-00418 | 10/18/2018 | Claimant(s): Scott MacDonald
Claimant Lawyers(s): George C. Miller
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
| 18-00208 | 10/04/2018 | Claimant(s): Jared Smith
Claimant Lawyers(s): Michael Bessette
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Seattle, WA
| | |
| 17-02089 | 04/04/2018 | Claimant(s): David Mendoza
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | |
