| 21-01422 | 02/22/2023 | Claimant(s): Charles Nino, Doreen Filomena, Heather Bily, Charles J. Nino IRA, Duane A. Bily IRA, Heather M. Bily IRA, Patricia A. Bily IRA, Sabrina L. Nino IRA, The Bily Charitable Remainder Unitrust, The Bily Family Trust UAD 12/23/96
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Ron Purvines, Cetera Advisors LLC
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Barbara M. Zak, Avery B. Goodman, Ann H. Nevers
Hearing Site: Las Vegas, NV
|  | Expungement |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 18-01349 | 03/11/2022 | Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
| | $2,662,420 |
| 19-01422 | 07/17/2020 | Claimant(s): Lincoln Capital Partnership, LLLP, Washington Capital Partnership, Southpac Trust
Claimant Lawyers(s): Berry R. Charles
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish, Zeek Ojeh, Leslie O Campbell
Hearing Site: Phoenix, AZ
| | Dismissed |
| 16-02247 | 02/16/2018 | Claimant(s): Robert and Cherie Kirk
Claimant Lawyers(s): Robert D. Kirk
Respondent(s): Brian Filizetti, Debra Underwood, Kyle Edsall, Lisa Lawrence, Invest Financial Corporation, Thomas Martell
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Timothy J. Kroll, Donald Dreyfus, Delores Manwar
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-01789 | 06/21/2017 | Claimant(s): Edith Seely, Seely Family Trust dated 07-21-2001
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Wells Fargo Advisors, Joseph Ballantyne
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish, Loren Scott Buell, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-00439 | 03/07/2017 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): Kenley Lawton
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-00537 | 01/29/2016 | Claimant(s): Andrew Blease
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Joseph Rocco
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Howard W. Shannon
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-03892 | 01/22/2014 | Claimant(s): Joseph Rocco
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Andrew Blease, American General Securities Incorporated
Respondent Lawyers(s): Edwin A. Barkel, Justin Sacca
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-00385 | 08/21/2013 | Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
