| 22-00082 | 09/26/2022 | Claimant(s): Daniel Pinkerton
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Rochelle Mayfield
Arbitrator(s): John J. Fitzpatrick
Hearing Site: Helena, MT
| | |
| 20-00836 | 09/17/2021 | Claimant(s): Gary Panion, Ronald Panion
Claimant Lawyers(s): Christopher C. Young
Respondent(s): Edward Jones, Scott Blando
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Patrick J. Halter
Hearing Site: Helena, MT
|  | $49,398 |
| 20-02531 | 02/15/2021 | Claimant(s): Sarah Hussey
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eleonora Yonge
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Helena, MT
| | |
| 18-01014 | 08/06/2018 | Claimant(s): Elizabeth Kohlstaedt, Elizabeth V. Kohlstaed IRA
Claimant Lawyers(s): Scott Peterson
Respondent(s): Keith Duncan, Investacorp.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | $0 |
| 16-01036 | 04/10/2017 | Claimant(s): Marilyn Leatherman
Claimant Lawyers(s): Marilyn J. Leatherman
Respondent(s): Michael Bruch, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): William J. Bender
Hearing Site: Helena, MT
| | $10,119 |
| 15-01567 | 11/18/2016 | Claimant(s): Dennis Stefani
Claimant Lawyers(s): Glenn E. Tremper
Respondent(s): Edward Jones
Respondent Lawyers(s): Jennifer Porter
Arbitrator(s): Philip Aaron Tymon, David William Hickman, Charles Scott McClellan
Hearing Site: Helena, MT
| | Expungement |
| 16-00524 | 10/10/2016 | Claimant(s): Shari Osweiler Swartz
Claimant Lawyers(s): Shari Osweiler Swartz
Respondent(s): Stifel, Nicolaus & Co.., John Horton, Joshua Horton
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Charles Scott McClellan
Hearing Site: Helena, MT
| | $0 |
| 14-01198 | 06/17/2015 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Clarence Frisbee
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Thomas R. Dreiling, Diane Kelley Golbeck, Linda M. Edwards
Hearing Site: Helena, MT
| | |
| 13-01824 | 11/13/2014 | Claimant(s): George Carson, George R. Carson, DDS,PC Profit Sharing
Claimant Lawyers(s): John G. Crist
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): William J. Bender, Philip Aaron Tymon, Ronald E. Lorentsen
Hearing Site: Helena, MT
| | Expungement |
| 13-02590 | 10/01/2014 | Claimant(s): Jeffrey Greene, Tama Greene
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Ross W. Cannon
Hearing Site: Helena, MT
| | Expungement |
