| 18-02712 | 02/25/2019 | Claimant(s): Bert Cooper
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Raymond James Financial Services., WFG Investments.
Respondent Lawyers(s): Davis Williams, Stanton A. Fears
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 17-01749 | 02/15/2019 | Claimant(s): Timothy Ruecker
Claimant Lawyers(s): Henry M Stein
Respondent(s): Jennifer Funke, Patrick Funke
Respondent Lawyers(s): Charles M. Callahan
Arbitrator(s): James M. Rapisarda, Donald Dreyfus, Ernst Janensch
Hearing Site: Phoenix, AZ
| | |
| 18-01875 | 02/12/2019 | Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | |
| 17-01765 | 12/20/2018 | Claimant(s): Scottsdale Capital Advisors Corp
Claimant Lawyers(s): Charles Harder
Respondent(s): Eric Miller
Respondent Lawyers(s): Eric Miller
Arbitrator(s): Kenneth R. Johnston, Deana S. Peck, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 18-00606 | 12/03/2018 | Claimant(s): Karekin Kaprelian
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
| | |
| 18-01301 | 11/21/2018 | Claimant(s): Jason Zilveti
Claimant Lawyers(s): Hillary Darnell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 17-02757 | 10/22/2018 | Claimant(s): James Poindexter
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-00417 | 10/22/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Denise M. Hammond
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-02264 | 10/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Matthew P. Fischer
Respondent(s): John Nielsen
Respondent Lawyers(s): John C. Nielsen
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 18-00248 | 10/02/2018 | Claimant(s): John Kincaid
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC, Legacy Financial Services.
Respondent Lawyers(s): Christina Vourakis, Michael J. Ernst
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
