14-00286 | 03/03/2015 | Claimant(s): Jon Arnold Claimant Lawyers(s): Douglas R. Jennings Respondent(s): LPL Financial LLC Respondent Lawyers(s): Kirsten Patzer Arbitrator(s): C. Robert Rittberger, Amy L. Wachs, Kevin Brodar Hearing Site: Cleveland, OH
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12-04078 | 06/06/2013 | Claimant(s): Wells Fargo Advisors Financial Network Claimant Lawyers(s): Beverly Jo Slaughter Respondent(s): Richie Crockett Respondent Lawyers(s): Richie Layne Crockett Arbitrator(s): Amy L. Wachs Hearing Site: Phoenix, AZ
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10-05343 | 11/21/2011 | Claimant(s): M. Johnson Claimant Lawyers(s): J. Noland Franz Respondent(s): Morgan Stanley, Morgan Stanley & Co. Respondent Lawyers(s): Braden O. Wilhelm Arbitrator(s): Katherine M. Harmeyer, Amy L. Wachs, Aryka Steele Radke Hearing Site: Phoenix, AZ
| | $148,990 |
10-04272 | 11/04/2011 | Claimant(s): Michele Perillo Claimant Lawyers(s): Lawrence J. Felder Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Raul Sanchez Arbitrator(s): Lanny M. Leff, Amy L. Wachs, Jay Lawrence Witkin Hearing Site: Phoenix, AZ
| | $0 |
09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust Claimant Lawyers(s): Alan Gilmore Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson Respondent Lawyers(s): Tara A. LaClair Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs Hearing Site: Phoenix, AZ
| | Expungement |