| 22-02461 | 10/18/2023 | Claimant(s): Clarissa Stecher, Deb Wanner, Donald Wanner, Jean Wanner, Joe Stecher, Rhonda Scheetz
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Hilary D. Wells
Arbitrator(s): John J. Fitzpatrick, Michael D. Briggs, Richard Beens
Hearing Site: Bismarck, ND
|  | $0 |
| 22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford
Claimant Lawyers(s): La Verne C. Simmons
Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs
Hearing Site: San Francisco, CA
| | $0 |
| 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 |
| 20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust
Claimant Lawyers(s): D. Daxton White
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs
Hearing Site: Oklahoma City, OK
| | Expungement |
| 16-00745 | 08/05/2019 | Claimant(s): Devandra Patel, Meenakshi Patel, DMPPP
Claimant Lawyers(s): Richard Frankowski
Respondent(s): Niyukt Bhasin, NSM Securities.
Respondent Lawyers(s): Niyukt Raghu Bhasin
Arbitrator(s): Paul H. Lamboley, Michael C. Anigbogu, Michael D. Briggs
Hearing Site: Reno, NV
| | $0 |
| 17-00135 | 12/19/2017 | Claimant(s): Dwight Hansen, Julie Hansen, Hansen's Grain Inc., Dwight Jay Hansen IRA
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Brandon Stimpson, Heath Bowen, Allegis Investment Services
Respondent Lawyers(s): Tamara A. Seelman
Arbitrator(s): Larry T. Coady, G. E. Craig Doupe, Michael D. Briggs
Hearing Site: Boise, ID
| | Dismissed by Rule (12200/12201) |
| 15-01410 | 07/25/2017 | Claimant(s): Russell Wilson
Claimant Lawyers(s): Russell Wilson
Respondent(s): Qi Huang, Stephen Grivas, Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma, Qi Huang, Stephen Grivas
Arbitrator(s): William L. Merkin, Michael D. Briggs, Randall Brian Christison
Hearing Site: San Diego, CA
| | $157,300 |
| 14-02898 | 05/08/2017 | Claimant(s): Benjamin Peters Trust dtd 12/3/1993, Ellen Mia Peters Trust, Lynn E. Gorguze Separate Property Trust, Vincent and Gloria Gorguze Trust dtd 3/2
Claimant Lawyers(s): John G. Rich, Ross B. Intelisano
Respondent(s): Candace Weir, C. L. King & Associates.
Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth
Arbitrator(s): Otis E. Hackett, Michael D. Briggs, Randall Brian Christison
Hearing Site: San Diego, CA
| | $0 |
| 14-02219 | 09/17/2015 | Claimant(s): Ronald Barbanell, Ronald Barbanell U/A/D 2-26-1993 Trust
Claimant Lawyers(s): John Lawrence Allen
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Chan H. Nam
Arbitrator(s): Michael D. Briggs
Hearing Site: San Diego, CA
| | Expungement |
| 13-00430 | 06/11/2014 | Claimant(s): Agnes Barrelet, Agnes Barrelet IRA, Agnes Barrelet Trust dated 10/09/2009
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): Christopher Taylor, NFP Securities.
Respondent Lawyers(s): Alexis Lu, Brandon S. Reif
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, Michael D. Briggs
Hearing Site: San Diego, CA
| | $1,246,160 |
