24-01314 | 10/30/2024 | Claimant(s): David Maddox Claimant Lawyers(s): David Maddox Respondent(s): Wefunder Portal LLC Respondent Lawyers(s): Christopher Vail Arbitrator(s): Michael Kelley Hearing Site: Albuquerque, NM
| | $0 |
23-02042 | 11/27/2023 | Claimant(s): Guy Dietrich Claimant Lawyers(s): Guy Dietrich Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Michael A. Gross Arbitrator(s): Robert Dean McKinley Hearing Site: Albuquerque, NM
| | $88 |
21-02849 | 08/03/2022 | Claimant(s): Jeffrey Maier, Charlotte M. Maier IRA Claimant Lawyers(s): Charlotte M. Maier, Jeffrey S. Maier Respondent(s): Wells Fargo Clearing Services Respondent Lawyers(s): Geoff Beckham Arbitrator(s): Herbert Liberman Hearing Site: Albuquerque, NM
| | $0 |
20-01960 | 05/25/2022 | Claimant(s): The David and Heather Weir Family Trust Claimant Lawyers(s): Jeffrey B. Kaplan Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Charles A. DeVore Arbitrator(s): Helen Marinak Blohm, Paul H. Lamboley, Harvey W Gordon Hearing Site: Albuquerque, NM
| | $1,447,090 |
21-01144 | 02/10/2022 | Claimant(s): Carol Keene Claimant Lawyers(s): Carol Keene Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs Hearing Site: Albuquerque, NM
| | Expungement |
21-00522 | 11/04/2021 | Claimant(s): Jason McGowan Claimant Lawyers(s): Jason Roy McGowan Respondent(s): Hennion & Walsh. Respondent Lawyers(s): Jennifer Burke Arbitrator(s): Herbert Liberman Hearing Site: Albuquerque, NM
| | $0 |
16-03473 | 05/17/2019 | Claimant(s): Brenda Balok, Stephen Balok Claimant Lawyers(s): Clinton Marrs Respondent(s): Morgan Stanley Respondent Lawyers(s): John Worden Arbitrator(s): Thaddeus J. Tecza, Herbert Liberman, James Mark Eason Hearing Site: Albuquerque, NM
| | $519,089 |
17-00452 | 07/20/2018 | Claimant(s): Andres Romero Claimant Lawyers(s): David Neuman Respondent(s): Legend Securities. Respondent Lawyers(s): Salvatore C. Caruso Arbitrator(s): Thomas R. Bromberg Hearing Site: Albuquerque, NM
| | $48,266 |
15-02841 | 07/28/2017 | Claimant(s): Board of County Commissioners of the Cou Claimant Lawyers(s): Clinton W Marrs Respondent(s): Thomas Hayes, Bosc. Respondent Lawyers(s): Paul DeMuro Arbitrator(s): Barry H. Barnett, Patricia G. Parthe, Harvey W Gordon Hearing Site: Albuquerque, NM
| | $0 |
16-01123 | 03/09/2017 | Claimant(s): Anthony Pryor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Geoff Beckham Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley Hearing Site: Albuquerque, NM
| | $357,000 |