| 19-02404 | 03/19/2020 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Arthur Hoffman
Respondent Lawyers(s): Arthur Stewart Hoffman
Arbitrator(s): Louis M. Parker
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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| 19-02017 | 02/14/2020 | Claimant(s): Brent Pine
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Z. Vourakis
Arbitrator(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
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| 19-01114 | 12/23/2019 | Claimant(s): Brian Scanlon
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 18-04092 | 11/05/2019 | Claimant(s): Marc Menton
Claimant Lawyers(s): Alan Baskin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
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| 19-00379 | 11/01/2019 | Claimant(s): Christopher Adikwu
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric Dowell
Arbitrator(s): Marc Kalish, Mary M. O'Neil, Holly A. Hart
Hearing Site: Phoenix, AZ
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| 19-00986 | 09/30/2019 | Claimant(s): William Zenk
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
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| 18-02600 | 09/27/2019 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Steven Thrush
Respondent Lawyers(s): Steven James Thrush
Arbitrator(s): Richard Marc Weinroth, Barbara Carolyn Klabacha, James St. Pierre Christian
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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| 19-00995 | 09/16/2019 | Claimant(s): Scott Genzman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): I Douglas Dunipace
Hearing Site: Phoenix, AZ
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