| 22-00407 | 12/20/2022 | Claimant(s): Shannon Larson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Patricia Diane Muse, Virginia H. Wertz, Michael Kelley
Hearing Site: Phoenix, AZ
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| 20-03440 | 07/06/2021 | Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 20-03307 | 05/06/2021 | Claimant(s): Matthew Davies
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Merton E. Marks, Walter Steven Schwartz, John Josef Kazanjian
Hearing Site: Phoenix, AZ
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| 19-02251 | 03/17/2020 | Claimant(s): Keith DeGreen
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Kenneth Layne Morrill, Renee Bryna Gerstman, James M Garber
Hearing Site: Phoenix, AZ
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| 18-04058 | 09/16/2019 | Claimant(s): John Cartolano
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Marcia A. Herrmann, Michael Kelley, Ernst Janensch
Hearing Site: Phoenix, AZ
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| 16-02691 | 02/06/2018 | Claimant(s): Corbett LaDuke, Matthew Phillips
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): L. Eric Dowell
Arbitrator(s): Donald Dreyfus, John H. Fearnow, Alan Peter Scherer
Hearing Site: Phoenix, AZ
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| 13-02816 | 12/23/2015 | Claimant(s): John Cartolano, NetVest Financial
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Howard W. Shannon, Douglas E. McArthur, Loren Scott Buell
Hearing Site: Phoenix, AZ
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| 14-00260 | 08/24/2015 | Claimant(s): Michael Choy
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Lanny M. Leff
Hearing Site: Phoenix, AZ
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| 13-03210 | 03/04/2015 | Claimant(s): Householder Group Financial Advisors, LL
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Debra Householder, Scott Householder, HG Marketing Services., Householding., Securities Service Network., TGH.
Respondent Lawyers(s): Christopher G. Lazarini, Robert D. Mitchell
Arbitrator(s): James E. Stark, Seymour A. Kolman, Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
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