| 17-02935 | 05/03/2018 | Claimant(s): Rebecca Kennell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
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| 17-03195 | 04/11/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Richard Blythe
Respondent Lawyers(s): Bruce R. Heurlin
Arbitrator(s): Steven M. Guttell
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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| 16-03494 | 11/21/2017 | Claimant(s): Securities Service Network.
Claimant Lawyers(s): Ronald T. Klimas
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
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| 16-02595 | 09/08/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Ted Hawks
Respondent Lawyers(s): Ted W. Hawks
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
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| 16-02837 | 08/25/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Davis
Respondent Lawyers(s): Charles Whitman Davis
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 16-00840 | 07/28/2017 | Claimant(s): William Lane
Claimant Lawyers(s): William James Lane
Respondent(s): George Romano, Mark Quinzi, Farmers Financial Solutions.
Respondent Lawyers(s): Christopher S. Maile, Richard C. Moore
Arbitrator(s): Jerry L. Riggins, Steven M. Guttell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 16-03720 | 07/25/2017 | Claimant(s): Nihaal Rao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
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| 15-01628 | 06/23/2017 | Claimant(s): David Sirvent
Claimant Lawyers(s): Richard A. Beran
Respondent(s): Chestnut Exploration Partners.
Respondent Lawyers(s): Mark A. Hendrix
Arbitrator(s): George W. Harding, Stephanie P. Lebhar, Garnett Sailor
Hearing Site: Phoenix, AZ
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| 16-01659 | 06/02/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher P. Litterio
Respondent(s): John Rietz
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Cary L. Weissman, Richard Marc Weinroth, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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