| 16-01655 | 02/27/2017 | Claimant(s): Larry Peterson
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Jonathan Sheklow, Kevin Hagan, Richard Bohack, Robert Jean
Respondent Lawyers(s): Jonathan Michael Sheklow, Kevin Edward Hagan, Richard Edward Bohack, Robert Jean
Arbitrator(s): Richard D. Fincher
Hearing Site: Albuquerque, NM
|  | $0 |
| 15-01677 | 05/04/2016 | Claimant(s): Jason Shook
Claimant Lawyers(s): Jason C. Shook
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Kathy L. Eisenmenger, Richard D. Fincher, Carla B. Minckley
Hearing Site: Salt Lake City, UT
| | $0 |
| 13-02193 | 11/12/2014 | Claimant(s): Randy Greene, Tanya Greene
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Charles E. Riggs, Richard D. Fincher, Bruce J. Pederson
Hearing Site: Albuquerque, NM
| | Expungement |
| 10-02877 | 09/09/2011 | Claimant(s): Augusta Feinstein, Henry Feinstein, Augusta R. Feinstein Rollover IRA, Henry Feinstein Roth IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): Richard D. Fincher, Paul D. Butt, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $146,146 |
| 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 |
| 10-03913 | 06/17/2011 | Claimant(s): Mario Martinez, Trustee of the George H.
Claimant Lawyers(s): Gerald W. Alston
Respondent(s): Donald Marshall, Roselyn Marshall, First Financial Equity Corporation
Respondent Lawyers(s): Donald Richard Marshall, Edwin A. Barkel
Arbitrator(s): Herschell E. Parent, Joe S. Tarrer, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 09-07184 | 12/17/2010 | Claimant(s): David Parri
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $0 |
| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $71,532 |
| 09-05255 | 10/18/2010 | Claimant(s): Raymond Cole
Claimant Lawyers(s): William J. Gladden
Respondent(s): Douglas Cochran, Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Leon G. Mackey, Patricia G. Parthe, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $270,600 |
| 09-00909 | 04/19/2010 | Claimant(s): Jere Planck, Mary Planck, Jere W. and Mary C. Planck Family Trust
Claimant Lawyers(s): Maura K. McKelvey
Respondent(s): UBS Financial Services Inc., Scott Miller
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Gary L. Freeman, Jerome K. Altshuler, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Expungement |
