| 23-01904 | 12/18/2023 | Claimant(s): Witzel Living Trust dtd June 13, 1994
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Colorado Financial Service Corporation
Respondent Lawyers(s): William Nelson
Arbitrator(s): Daniel B. MacLeod, Jay M. Schornstein, Lorena Reynolds
Hearing Site: Portland, OR
|  | Dismissed by Rule 12206 |
| 22-01976 | 06/05/2023 | Claimant(s): Meris Collier
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): VSR Financial Services.
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
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| 20-03883 | 09/23/2021 | Claimant(s): Daniel Baumgartel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
| | |
| 20-03028 | 09/08/2021 | Claimant(s): Joshua Stroud
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Sara B. Davis, Shelley Davenport
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
| | |
| 20-02856 | 03/23/2021 | Claimant(s): Brian McDowell
Claimant Lawyers(s): Brian Sun Eagleheart McDowell
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Daniel B. MacLeod, John M. Casey, James John Jurinski
Hearing Site: Portland, OR
| | |
| 20-00736 | 09/28/2020 | Claimant(s): Michael Willey
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Lawrence Fawcett
Respondent Lawyers(s): Lawrence John Fawcett
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
| | $36,088 |
| 19-03453 | 07/10/2020 | Claimant(s): Kevin Pentz
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay Wuller Aggarwal
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Seattle, WA
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| 19-00048 | 09/16/2019 | Claimant(s): Thomas Davis
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): American Independent Securities Group, L
Respondent Lawyers(s): W. Gregory Lockwood
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
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| 18-02320 | 07/02/2019 | Claimant(s): Peter Covino
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC, VSR Financial Services., Prospera Financial Services.
Respondent Lawyers(s): Brian Harlan, Jeremy Carr, William M. Schmitt
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Boise, ID
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| 14-01676 | 05/12/2016 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John L. Erikson
Respondent(s): Stifel, Nicolaus & Co.., Gary Whinery
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Michael D. Weiner, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Boise, ID
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