| 19-01461 | 05/10/2022 | Claimant(s): Leslie Miller
Claimant Lawyers(s): Matthew H. Hoy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Noah D. Sorkin
Arbitrator(s): Leonard Arthur Nelson, Steven Joseph Streen, Robert S. Baran
Hearing Site: Kansas City, MO
|  | $1 |
| 20-02130 | 05/07/2021 | Claimant(s): John Distefano
Claimant Lawyers(s): Jennifer Farrar
Respondent(s): Northwestern Mutual Investment Services,
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Robert S. Baran
Hearing Site: Kansas City, MO
| | |
| 16-01790 | 06/28/2017 | Claimant(s): Rosemarie McBride
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors Financial Network, Janet Horowitz
Respondent Lawyers(s): Alan Baskin, Judy Louie
Arbitrator(s): Howard R. Gaines, Jan Marie Mackulak, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
