| 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 |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-02689 | 03/20/2015 | Claimant(s): Hollye Canez
Claimant Lawyers(s): Hollye Canez
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $0 |
| 14-02200 | 03/12/2015 | Claimant(s): Douglas Haviland
Claimant Lawyers(s): Douglas Allan Haviland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $665 |
| 11-03363 | 11/13/2012 | Claimant(s): David W. Hockersmith
Claimant Lawyers(s): David W. Hockersmith
Respondent(s): Morgan Stanley, Stephen Ledyard
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04909 | 10/01/2012 | Claimant(s): Laurence Pilgeram Ttee
Claimant Lawyers(s): Laurence Pilgeram
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): William M. Howard
Hearing Site: Las Vegas, NV
| | $0 |
| 09-04708 | 02/04/2010 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Robert E. Dunn
Respondent(s): LPL Financial LLC, Stephen Lomsdalen
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $163 |
| 08-03988 | 04/08/2009 | Claimant(s): Nani K. Hogle, TTEE Nani K. Hogle Trust
Claimant Lawyers(s): Nani K. Hogle
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): William M. Howard
Hearing Site: Salt Lake City, UT
| | $0 |
