| 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
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| 20-03102 | 05/03/2021 | Claimant(s): Phil Scott
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
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| 19-03250 | 03/26/2021 | Claimant(s): Benjamin Capdevielle, Brandon Ehrlich, Bryce Dawson, Carol Hilton, Carrie Miller, Christine Eason, David Miller, Diana Naramore, Emilie Dawson, Eugene Rogers, Gary Wyatt, Holly Robinson, Ian Hilton, Irene Leon Guerrero, Joann LaCanfora, Martha Wyatt, Nadine Dawson, Natasha Ehrlich, Pamela Apt, Patricia Hamilton, Peter Leon Guerrero, Robert LaCanfora, Shannon McQuery, Stephen Apt, Stephen Naramore, Tony Eason
Claimant Lawyers(s): John A. Bender, Timothy B. Fitzgerald
Respondent(s): Charles Schwab & Co.., Interactive Brokers LLC
Respondent Lawyers(s): David Luger, Kevin H. Lewis
Arbitrator(s): Katherine H. O'Neil, David Gonzalez, Frederick Allan Kaseburg
Hearing Site: Seattle, WA
|  | $4,646,560 |
| 20-00990 | 03/25/2021 | Claimant(s): Charles Stanton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
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| 20-01370 | 03/18/2021 | Claimant(s): Stephen Webb
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Clydia Jean Cuykendall
Hearing Site: Seattle, WA
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| 20-01425 | 03/17/2021 | Claimant(s): Adam Bishop
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Annette K. Ebright
Arbitrator(s): Jane Ann McKenzie
Hearing Site: Seattle, WA
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| 20-02770 | 03/09/2021 | Claimant(s): Jason Plemons
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Robert M Stein
Hearing Site: Seattle, WA
| | |
| 19-02917 | 02/22/2021 | Claimant(s): Sarah Ihrie
Claimant Lawyers(s): Mark C. Santi
Respondent(s): Interactive Brokers LLC, Vita Intellectus
Respondent Lawyers(s): David Luger, Joshua Label
Arbitrator(s): G. E. Craig Doupe, John M. Casey, David E. Crowe
Hearing Site: Seattle, WA
| | $639,000 |
| 20-02311 | 02/17/2021 | Claimant(s): Aaron Easter
Claimant Lawyers(s): Brian Luther
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): James E. Bartels
Hearing Site: Seattle, WA
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| 20-01021 | 02/02/2021 | Claimant(s): Kirk Balin
Claimant Lawyers(s): Kurt T. Kalberer II
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Katherine Hendricks
Hearing Site: Seattle, WA
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