| 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 |
| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
| | Dismissed by FINRA 12206 |
| 17-00728 | 10/16/2020 | Claimant(s): The Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Conroy, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): LeRoy Melvin Gilbertson, Kenneth L. Mann, William B. Morgan
Hearing Site: Phoenix, AZ
| | Dismissed |
| 12-00935 | 06/24/2013 | Claimant(s): Barbara Merlin, John Merlin, Merlin Family Trust dtd 09/15/2005
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Erinn Ford, Jeffery Briggs, Mark McCloskey, Philip Pizelo, Shanon Ford, Briggs Financial Services, Pacific West Financial Group Holding Co., Pacific West Securities.
Respondent Lawyers(s): Barry R. Temkin, Chance A.E. Hodges, Jeffrey O. Briggs
Arbitrator(s): Jerry H. Friedland, Henry L. Dahl, William Borden Morgan
Hearing Site: Phoenix, AZ
| | Expungement |
