| 23-01057 | 04/12/2024 | Claimant(s): Michael Lombardi
Claimant Lawyers(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Lawyers(s): Rachel K. Douglas
Arbitrator(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
|  | $102,559 |
| 22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle
Hearing Site: Las Vegas, NV
| | $0 |
| 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 |
| 18-03492 | 10/14/2019 | Claimant(s): William Siu
Claimant Lawyers(s): Jon A Titus
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | $330,000 |
| 13-01789 | 02/11/2015 | Claimant(s): John & Karen Opilowsky Trust U/A 2/24/00
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Robert S. McConnell, Jerry H. Friedland, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
