| 19-01226 | 10/24/2019 | Claimant(s): Billie Nelson
Claimant Lawyers(s): Billie Barbara Nelson
Respondent(s): Michael Self
Respondent Lawyers(s): T. J. Mitchell
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
|  | $0 |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $330,000 |
| 19-01004 | 09/06/2019 | Claimant(s): Hamilton Durning
Claimant Lawyers(s): Hamilton L. Durning
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Ilana Herscovitz Reid
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
| 17-02284 | 08/30/2019 | Claimant(s): Cynthia Dahlstrom, Dana Proctor, David Dahlstrom, David D. Dahlstrom & Cynthia G.Dahlstrom
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I Douglas Dunipace, Loren Scott Buell, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $0 |
| 18-03137 | 08/21/2019 | Claimant(s): Gail Higashi, Kevin Higashi
Claimant Lawyers(s): Lisa Anne Smith
Respondent(s): Jacob Kagele
Respondent Lawyers(s): Dennis A. Rosen
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
| | $35,632 |
| 19-00460 | 08/15/2019 | Claimant(s): Hennessee Family Trust
Claimant Lawyers(s): Paul C. Cox
Respondent(s): Wells Fargo Clearing Services, William Paynter
Respondent Lawyers(s): Jeffrey Rodgers
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | Expungement |
| 18-04437 | 07/31/2019 | Claimant(s): Stephan Fernandez
Claimant Lawyers(s): Stephan Fernandez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
| | $6,288 |
| 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 |
| 18-00452 | 01/07/2019 | Claimant(s): Melissa Eaves, Rodney Eaves
Claimant Lawyers(s): Paul A. Conant
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Kevin R. Heaphy
Arbitrator(s): Maureen Beyers, Richard Marc Weinroth, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | $1,050,860 |
