| 19-01888 | 05/18/2021 | Claimant(s): Amy Toliver, Cynthia Toliver, Janet Narduzzi
Claimant Lawyers(s): Stephen C. Mouritsen
Respondent(s): John Arnold, AXA Advisors
Respondent Lawyers(s): Daniela Paez, Nancy L. Hendrickson
Arbitrator(s): Jay H. Feldstein, David S. Eisenberg, Kenneth L. Mann
Hearing Site: Phoenix, AZ
|  | Expungement |
| 20-00749 | 12/29/2020 | Claimant(s): Deeann Griebel
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen G. Topetzes
Arbitrator(s): Elliott Finkel, Kenneth R. Johnston, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | |
| 17-00728 | 10/16/2020 | Claimant(s): The Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Conroy, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): LeRoy Melvin Gilbertson, Kenneth L. Mann, William B. Morgan
Hearing Site: Phoenix, AZ
| | Dismissed |
| 19-01774 | 09/25/2020 | Claimant(s): Michael Stevens, Michael Stevens IRA
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Securities Service Network
Respondent Lawyers(s): Christopher G. Lazirini, Jon D. Kaplon
Arbitrator(s): David S. Eisenberg, Roger A. Geddes, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
