17-01766 | 05/03/2019 | Claimant(s): Schneider Family Limited Partnership LLP Claimant Lawyers(s): Ryan K. Bakhtiari Respondent(s): Morgan Stanley Respondent Lawyers(s): Matthew Broccolo Arbitrator(s): George W. Harding, Brian W Yee, Kenneth L. Mann Hearing Site: Phoenix, AZ
| | $0 |
17-00246 | 02/14/2019 | Claimant(s): Walter Ryan Claimant Lawyers(s): Mark A. Tepper Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Todd Ratner Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann Hearing Site: Phoenix, AZ
| | Expungement |
14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000 Claimant Lawyers(s): Steven D. Toskes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David I. Hantman Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann Hearing Site: Phoenix, AZ
| | Expungement |
14-03804 | 10/16/2015 | Claimant(s): The Jerome L. Glazer Rev Trust UAD 06/09 Claimant Lawyers(s): Jerome L. Glazer Respondent(s): Euro Pacific Capital. Respondent Lawyers(s): Peter M. Chena Arbitrator(s): Patricia G. Parthe, Steven M. Guttell, Kenneth L. Mann Hearing Site: Phoenix, AZ
| | $300 |
11-00733 | 05/17/2013 | Claimant(s): Kendis Family Trust (A & B Trusts) Claimant Lawyers(s): Mark D. Lammers Respondent(s): Citigroup Global Markets., Morgan Stanley Respondent Lawyers(s): Daren A. Luma Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz Hearing Site: Phoenix, AZ
| | Expungement |