Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust Claimant Lawyers(s): Robert H. Rex Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc Respondent Lawyers(s): Peter J. McElligott Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor Hearing Site: Phoenix, AZ |  | Dismissed by FINRA 12206 |
| 15-03469 | 11/13/2017 | Claimant(s): Howard Brinkerhoff Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Timothy Leahy Respondent Lawyers(s): Timothy Francis Leahy Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor Hearing Site: Phoenix, AZ | | $50,000 |
| 15-01628 | 06/23/2017 | Claimant(s): David Sirvent Claimant Lawyers(s): Richard A. Beran Respondent(s): Chestnut Exploration Partners. Respondent Lawyers(s): Mark A. Hendrix Arbitrator(s): George W. Harding, Stephanie P. Lebhar, Garnett Sailor Hearing Site: Phoenix, AZ |