| 20-02239 | 05/12/2021 | Claimant(s): Janet Buggeln, Janet F. Buggeln Liv Trt u/a/d 5/12/17
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): George W. Harding, Aryka Steele Radke, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
|  | Expungement |
| 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 |
| 15-03469 | 11/13/2017 | Claimant(s): Howard Brinkerhoff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Timothy Leahy
Respondent Lawyers(s): Timothy Francis Leahy
Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor
Hearing Site: Phoenix, AZ
| | $50,000 |
| 15-01510 | 06/22/2017 | Claimant(s): Larry Haberkorn
Claimant Lawyers(s): Larry Haberkorn
Respondent(s): Wells Fargo Advisors, Matthew Salamon
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George W. Harding, Paul J. Robinson, Marc Kalish
Hearing Site: Phoenix, AZ
| | $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 |
| 14-01243 | 04/17/2015 | Claimant(s): Scott Brittenham, Scott Brittenham Trust U/A DTD 4/17/12
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Wells Fargo Advisors, Martin Welzmuller
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): George W. Harding, Paul J. Robinson, Louis M. Parker
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-03560 | 04/17/2015 | Claimant(s): Sandra Britton on behalf of her IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Brian J. Palmer
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
| 10-01198 | 05/03/2011 | Claimant(s): Steven Wdowka, Steven E. Wdowka, IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Anne N. DePrez
Arbitrator(s): George W. Harding, Gary P. Price, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $2,512,200 |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
| | $500,000 |
