| 16-01450 | 01/05/2018 | Claimant(s): Donna Gambee
Claimant Lawyers(s): Charles H. Field
Respondent(s): David Barber, Madison Avenue Securities, Llc
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Deanna J. Johnson, Janice L. Sperow, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
|  | $1,945,400 |
| 16-02139 | 12/18/2017 | Claimant(s): David Hughes
Claimant Lawyers(s): Jonah A. Toleno
Respondent(s): Kestra Investment Services.
Respondent Lawyers(s): Kelsey L. Hotchkiss
Arbitrator(s): Joseph J. Woodford, Brian William Heublein, Thomas L. Marshall
Hearing Site: San Diego, CA
| | |
| 17-00727 | 12/11/2017 | Claimant(s): Richard French
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Leslie V. Tepper
Arbitrator(s): Michael E. Rohde
Hearing Site: San Diego, CA
| | |
| 17-00881 | 12/07/2017 | Claimant(s): Alvin Sanders
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Herbert Liberman
Hearing Site: San Diego, CA
| | |
| 17-00555 | 11/03/2017 | Claimant(s): J. Coghlan
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 17-01381 | 10/25/2017 | Claimant(s): Sujata Vyas
Claimant Lawyers(s): Marie Mirch
Respondent(s): Bhaskar Vyas, First Affiliated Securities
Respondent Lawyers(s): Bhaskar Chandrakant Vyas, Donna Bartlett
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | $107,865 |
| 17-00784 | 10/24/2017 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lawrence Palme
Respondent Lawyers(s): Lawrence Edward Palme
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | |
| 17-00509 | 10/13/2017 | Claimant(s): Scott Hood
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Randi P. Spallina
Arbitrator(s): Mark R. Lee
Hearing Site: San Diego, CA
| | |
| 17-00356 | 10/10/2017 | Claimant(s): Jacqueline Peters
Claimant Lawyers(s): Jacqueline Peters
Respondent(s): Morgan Stanley, Helen Timpe
Respondent Lawyers(s): John S. Worden
Arbitrator(s): John Scott Carter
Hearing Site: San Diego, CA
| | $0 |
| 16-01891 | 09/22/2017 | Claimant(s): Pollard Family Trust, Sierra Bonita Trust
Claimant Lawyers(s): Michael T. McColloch
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Sally G. Williams, Randall B Christison, William Richard Espino
Hearing Site: San Diego, CA
| | $0 |
