23-02601 | 01/24/2024 | Claimant(s): Joseph Doku Claimant Lawyers(s): Christopher H Tovar Respondent(s): Mutual of America Securities LLC Respondent Lawyers(s): John McLean Arbitrator(s): Lanny M. Leff, Michael Kelley, Richard Kent Mahrle Hearing Site: Phoenix, AZ
| | |
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
| | |
20-00067 | 11/29/2021 | Claimant(s): Gary Deardorff Claimant Lawyers(s): Tosh D. Grebenik Respondent(s): LPL Financial LLC, Next Financial Group. Respondent Lawyers(s): John T. Unger, Sara B. Davis Arbitrator(s): Michael Kelley Hearing Site: Phoenix, AZ
| | |
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
| | |
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
| | |
18-04324 | 07/16/2019 | Claimant(s): Donald Burton Claimant Lawyers(s): Michael Bessette Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Judy Louie Arbitrator(s): Michael Kelley Hearing Site: Phoenix, AZ
| | |