| 23-02277 | 04/19/2024 | Claimant(s): Christine and Claude Inch
Claimant Lawyers(s): Christine and Claude Inch
Respondent(s): Pruco Securities., Prudential Equity Group, Harry Weber
Respondent Lawyers(s): Jennifer E. Novoselsky, Kendra S. Canape
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | $0 |
| 17-00654 | 05/05/2023 | Claimant(s): Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Eric Baron, Jacob Kracht Russo
Respondent Lawyers(s): Eric Scott Baron, Jacob Steven Kracht Russo
Arbitrator(s): Allen B. Lang, Althea P. Halchuck, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Dismissed with Rule 12702 |
| 22-00099 | 04/19/2023 | Claimant(s): Courtney Mathy, John Cooper, Mariette Cooper, Reginald Cooper, Armour Self Storage II, Courtney Mathy Trust
Claimant Lawyers(s): Casey Obren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Walter Steven Schwartz, William B. Morgan, J. William Brammer
Hearing Site: Phoenix, AZ
| | $0 |
| 20-02503 | 01/20/2023 | Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 22-00146 | 05/24/2022 | Claimant(s): Robert Rockefeller
Claimant Lawyers(s): Robert Rockefeller
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $125 |
| 20-01085 | 08/14/2020 | Claimant(s): Jennifer Harrenstein
Claimant Lawyers(s): Jennifer S. Harrenstein
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 16-01691 | 07/19/2018 | Claimant(s): Michael Friar, Ascend Strategic Partners
Claimant Lawyers(s): Robin M. Pearson
Respondent(s): Heiner Meldner, Cubic Tech Corporation
Respondent Lawyers(s): Cory L. Braddock
Arbitrator(s): Jay Lawrence Witkin, Sheila Grinell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 16-02368 | 07/28/2017 | Claimant(s): Janet Russ, Janet E. Russ Trust
Claimant Lawyers(s): Bruce R Heurlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-03751 | 06/29/2015 | Claimant(s): Jeffrey Teets
Claimant Lawyers(s): Paul A. Conant
Respondent(s): Thaxton Peterson
Respondent Lawyers(s): Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Walter Steven Schwartz, David F. Sargent
Hearing Site: Phoenix, AZ
| | $0 |
| 13-00212 | 01/06/2015 | Claimant(s): Anthony Humpage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Howard W. Shannon, Merton E. Marks, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
