| 16-03720 | 07/25/2017 | Claimant(s): Nihaal Rao
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-00415 | 07/08/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Keeland Howe
Respondent Lawyers(s): Keeland Douglas Howe
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 14-01702 | 01/13/2015 | Claimant(s): Diane Anderson
Claimant Lawyers(s): Bryan Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
| 12-03078 | 07/01/2014 | Claimant(s): John S. Walker IRA
Claimant Lawyers(s): Robert H. Rex
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-01802 | 09/03/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Shawn Welch
Respondent Lawyers(s): Robert Simbro
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 12-00911 | 03/14/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Donald Zienty
Respondent Lawyers(s): Donald Matthew Zienty
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 11-02052 | 10/18/2012 | Claimant(s): Billie Miles
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Howard R. Gaines, Ronald Edward Hibbing, Paul A. Cash
Hearing Site: Phoenix, AZ
| | $0 |
| 10-03961 | 07/05/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Daniel Kammerer, Citigroup Global Markets., Citigroup Global Markets Holdings.
Respondent Lawyers(s): Erin E. Mac Avoy, Krista L. Tushar
Arbitrator(s): Howard R. Gaines, Gregory D. Thomas, Patricia Mary Vondra
Hearing Site: Denver, CO
| | |
