| 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
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| 18-00830 | 01/11/2019 | Claimant(s): Richard Del Monte
Claimant Lawyers(s): Michelle Atlas
Respondent(s): Securities America.
Respondent Lawyers(s): Chad E. Weaver
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
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| 18-02196 | 01/09/2019 | Claimant(s): Kevin Moran
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 17-03404 | 01/07/2019 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Donald A. Corbett
Respondent(s): Francis Roche
Respondent Lawyers(s): David Commins
Arbitrator(s): Nancy Hutt, John J. Fitzpatrick, James G. Gillivan
Hearing Site: San Francisco, CA
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| 18-00829 | 12/26/2018 | Claimant(s): John Kettmann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Lesley Tepper
Arbitrator(s): Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 18-02875 | 12/24/2018 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Roy Manriquez
Respondent Lawyers(s): Roy Arcadio Manriquez
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 15-02387 | 12/14/2018 | Claimant(s): El Capitan Limited Corporation
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil Baritz
Arbitrator(s): Jeffrey M. Allen, Lawrence R. Mills, Anne M. Lawlor Goyette
Hearing Site: San Francisco, CA
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| 16-03708 | 12/13/2018 | Claimant(s): Lionel Shaw
Claimant Lawyers(s): Garet D. O'Keefe
Respondent(s): Summit Brokerage Services.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Michelle Judy Brant, Alden Sharp Adkins, Roland Neil Burgess
Hearing Site: San Francisco, CA
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| 17-02665 | 12/13/2018 | Claimant(s): Rajiv Nagesetty& Neesha Pammi RevocTrust
Claimant Lawyers(s): Rick Conway
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 18-00139 | 12/06/2018 | Claimant(s): Keith Seibert
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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