18-04091 | 10/20/2022 | Claimant(s): Manjunath Nathan, Arizona Medical Center, PLLC Claimant Lawyers(s): Leslie Schwaebe Akins Respondent(s): John Kelly, Lifemark Securities Corp. Respondent Lawyers(s): Chad Weaver Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, J. William Brammer Hearing Site: Phoenix, AZ
| | $0 |
11-02019 | 07/26/2016 | Claimant(s): John Kelly, Ruth Kelly Claimant Lawyers(s): James Borcia Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Bruce Lewitas Arbitrator(s): Leon Fox, Marilee Roberg, Suanne F. Goldman Hearing Site: Chicago, IL
| | $0 |
09-06962 | 01/13/2012 | Claimant(s): Bruce Norman, David Robertson, Donald Reutlinger, Glenn Spaur, Hardy Hodges, Henry Burns, James DeMartini, Janell Reutlinger, Jarod Kuntz, John Beaupre, Kenneth Hofmeister, Kimber Heineman, Lawrence Berg, Leslie Schifferns, Lou Burns, Mary Hofmeister, Merle Allen, Pamela Kuntz, Richard Faulkner, Ruth DeMartini, et al Claimant Lawyers(s): Scott L. Silver Respondent(s): Capwest Securities. Respondent Lawyers(s): Tom Fehn Arbitrator(s): Thaddeus J. Tecza, Martin M. Berliner, John Fleming Kelly Hearing Site: Denver, CO
| | $9,120,500 |
08-01879 | 09/02/2011 | Claimant(s): Empire Financial Group. Claimant Lawyers(s): Todd A. Zuckerbrod Respondent(s): Hernando Cortes, James Matthew, Jason Sharfstein, John Kelly, Kevin O'Halloran, Robert Gaeta, Steven Rabinovici, Todd Zuckerbrod, Stockcross Financial Services., The Estate of Gerard Mastrianni Respondent Lawyers(s): George Brunelle, J. Christopher Albanese, Martin H. Kaplan, Michael P. Gilmore, Todd A. Zuckerbrod Arbitrator(s): Marc T. Danon, Stuart S. Billington, Jack A. Helms Hearing Site: Orlando, FL
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09-03577 | 05/19/2010 | Claimant(s): Richard Johnson Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Michael Wittenberg Respondent Lawyers(s): Michael Scott Wittenberg Arbitrator(s): Lawrence R. Commers, John R. Kelly, Leo G. Stern Hearing Site: Minneapolis, MN
| | $170,521 |
09-00408 | 04/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Julianne L. Peck Respondent(s): Xin Li Respondent Lawyers(s): Albert L. Boasberg Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts Hearing Site: San Francisco, CA
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08-04957 | 08/27/2009 | Claimant(s): Sally Geis Claimant Lawyers(s): Jim Geis Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Sean B. Meehan Arbitrator(s): John Fleming Kelly, Peter D. Bowes, Charles A. Newton Hearing Site: Denver, CO
| | $100,225 |
07-02892 | 02/13/2009 | Claimant(s): OptionsHouse. Claimant Lawyers(s): Milnor H. Senior Respondent(s): James Bateman, James Leonard Bateman Roth Retirement Respondent Lawyers(s): James Bateman Arbitrator(s): Samuel E. Wing, John Fleming Kelly, Daniel E. Wright Hearing Site: Denver, CO
| | $0 |
06-05130 | 02/20/2008 | Claimant(s): Clinton and Julie Howe Claimant Lawyers(s): F. Albert Ibrahim Respondent(s): Gregory Geis, Allstate Life Insurance Company, BancWest Investment Services., Bank of the West Respondent Lawyers(s): Barry D. Hovis, Sonia R. Martin Arbitrator(s): John Patrick Kelly, Nick G. Tarlson, Mark Aaron Jones Hearing Site: San Francisco, CA
| | $3,750 |
06-04150 | 09/13/2007 | Claimant(s): Joyce Schmidt Claimant Lawyers(s): Francis V. Cristiano Respondent(s): Roger Martin, Legacy Financial Services. Respondent Lawyers(s): Jonathon D. Bergman Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, John Fleming Kelly Hearing Site: Denver, CO
| | $36,498 |