| 15-00826 | 12/09/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Matthew Miller
Respondent Lawyers(s): Matthew C. Miller
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | |
| 13-00075 | 08/12/2014 | Claimant(s): Johnny Burris
Claimant Lawyers(s): Nicholas Woodfield
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Robert S. McConnell, Katherine M. Harmeyer, Brian L Evans
Hearing Site: Phoenix, AZ
| | |
| 13-02334 | 07/14/2014 | Claimant(s): Jeffrey Smith, Joel Sheldon, Kozen Tsukamoto, Wayne Miiller
Claimant Lawyers(s): Wayne Ivan Miller
Respondent(s): J. Schultz, Longview Financial Group.
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Katherine M. Harmeyer, Richard B. Bequette, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
| | |
| 12-02770 | 07/09/2014 | Claimant(s): Charles Davis
Claimant Lawyers(s): Dan M. Durrant
Respondent(s): Peter Savarino, McDonald Partners LLC
Respondent Lawyers(s): Nathan Kunz, Robert J. Hanna
Arbitrator(s): Katherine M. Harmeyer, Charles W. Herf, Ernest F. Modzelewski
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 |
| 12-02448 | 05/20/2013 | Claimant(s): Melvin Schiebel, Melvin J. Schiebel Trust
Claimant Lawyers(s): Melvin J. Schiebel
Respondent(s): Edmond Lynch, Mark Bachman, Michael Butterfield, Ronald Thalman, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-02921 | 05/08/2013 | Claimant(s): Longview Financial Group.
Claimant Lawyers(s): Bruce A. Schoenberg
Respondent(s): Christopher Cushman, Tsarina Branyan
Respondent Lawyers(s): Christopher Robert Cushman, Tsarina Lau Branyan
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | |
| 12-02192 | 12/20/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Todd Fritz
Respondent Lawyers(s): Todd Allen Fritz
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | |
| 11-00765 | 12/08/2011 | Claimant(s): The Poole Family Revocable Trust
Claimant Lawyers(s): Jennifer J. Axel
Respondent(s): Robert Carley, William Turner, Farnam Street Brokerage Company, StockCross Financial Services.
Respondent Lawyers(s): David A. Gehn, Richard N. Berkshire
Arbitrator(s): Katherine M. Harmeyer, Thomas P. Delnoce, Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
| 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 |
