| 20-02503 | 01/20/2023 | Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | Expungement |
| 21-01996 | 03/17/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Maria Esparza
Respondent Lawyers(s): Maria Esparza
Arbitrator(s): Sheila Grinell, Roger A. Geddes, Glenn Allen Baker
Hearing Site: Phoenix, AZ
| | $0 |
| 19-01774 | 09/25/2020 | Claimant(s): Michael Stevens, Michael Stevens IRA
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Securities Service Network
Respondent Lawyers(s): Christopher G. Lazirini, Jon D. Kaplon
Arbitrator(s): David S. Eisenberg, Roger A. Geddes, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
| 18-01513 | 05/09/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Joseph L Siders
Respondent(s): Thomas Sanduski
Respondent Lawyers(s): Thomas J. Sanduski
Arbitrator(s): Larry Edmonson, Sheila Grinell, Roger A. Geddes
Hearing Site: Las Vegas, NV
| | $0 |
| 16-02013 | 08/08/2018 | Claimant(s): Bryan Hanson, Linda Hanson, Bryan K. Hanson Revocable Trust
Claimant Lawyers(s): Ryan S. Cook
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): Marc Kalish, David S. Eisenberg, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $0 |
| 16-02532 | 06/07/2017 | Claimant(s): Jacqueline L. Bowers Roth IRA, PBS Living Trust
Claimant Lawyers(s): Darlene Pasieczny
Respondent(s): Aaron Brodt, Janet Ross, Wayne Miiller, Accelerated Capital Group, Ashton Thomas Private Wealth
Respondent Lawyers(s): Brian A. Lebrecht, Mark D. Chester
Arbitrator(s): Deana S. Peck, Loren Scott Buell, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-02084 | 02/14/2017 | Claimant(s): Arianna Lin
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): John J. Balitis, Jay Lawrence Witkin, Roger A. Geddes
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 |
| 09-06707 | 07/26/2011 | Claimant(s): Michael Berovic, Berovic-Goshen Village LLC, Michael Berovic Revocable Living Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Christian Sayre-Smith, KMS Financial Services.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard D. Fincher, John Barton Schannep, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $242,056 |
| 09-05719 | 07/06/2011 | Claimant(s): Richard Delfs
Claimant Lawyers(s): Stephen M. Weiss
Respondent(s): Morgan Stanley & Co., Michael Tusan
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): James M. Rapisarda, Roger A. Geddes, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
