| 24-00309 | 08/26/2024 | Claimant(s): Jameson Van Houten
Claimant Lawyers(s): Benjamin Biard
Respondent(s): Crown Capital Securities, L.P.
Respondent Lawyers(s): Jonathan French
Arbitrator(s): Monica I. Salis, Gregory D. Hoffmann, John R. Wylie
Hearing Site: Phoenix, AZ
| | |
| 23-02926 | 08/05/2024 | Claimant(s): Gregory Richards
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Benchmark Investments, Centaurus Financial., Questar Capital Corporation
Respondent Lawyers(s): Jared Merlin, Katherine C. Donlon, Michael J. Carey
Arbitrator(s): Barbara M. Zak, William B. Morgan, Jeremy Kent Holmes
Hearing Site: Phoenix, AZ
| | |
| 23-02835 | 07/12/2024 | Claimant(s): Michael Bristoll
Claimant Lawyers(s): James P. Galvin
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Paula Shaffner
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 23-02277 | 04/19/2024 | Claimant(s): Christine and Claude Inch
Claimant Lawyers(s): Christine and Claude Inch
Respondent(s): Pruco Securities., Prudential Equity Group, Harry Weber
Respondent Lawyers(s): Jennifer E. Novoselsky, Kendra S. Canape
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | $0 |
| 23-01057 | 04/12/2024 | Claimant(s): Michael Lombardi
Claimant Lawyers(s): Alan S. Baskin
Respondent(s): David Sherwood, Greenberg Financial Group
Respondent Lawyers(s): Rachel K. Douglas
Arbitrator(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | $102,559 |
| 23-01419 | 04/05/2024 | Claimant(s): Thomas Mccausland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets., RBC Capital Markets LLC
Respondent Lawyers(s): Adam M. Kauff, Samuel F.B. Audley
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 22-01988 | 02/20/2024 | Claimant(s): Tastyworks.
Claimant Lawyers(s): Thomas G. Haskins
Respondent(s): Erick Lopez
Respondent Lawyers(s): Erick Lopez
Arbitrator(s): Allen B. Lang, Deana S. Peck, Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | $0 |
| 21-00345 | 02/07/2024 | Claimant(s): David Ingle
Claimant Lawyers(s): Owen Harnett
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
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| 23-00979 | 02/05/2024 | Claimant(s): Matthew Fitzgerald
Claimant Lawyers(s): Randi Perry Spallina
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
| | |
| 23-02601 | 01/24/2024 | Claimant(s): Joseph Doku
Claimant Lawyers(s): Christopher H Tovar
Respondent(s): Mutual of America Securities LLC
Respondent Lawyers(s): John McLean
Arbitrator(s): Lanny M. Leff, Michael Kelley, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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