| 20-01698 | 02/19/2021 | Claimant(s): Estate of George F. Kalil
Claimant Lawyers(s): Tom Slutes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Marc Kalish, Jay Lawrence Witkin, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ
|  | $0 |
| 18-02717 | 02/12/2021 | Claimant(s): Clifford Deeds
Claimant Lawyers(s): David Liebrader
Respondent(s): Duane Becker
Respondent Lawyers(s): Duane Ray Becker
Arbitrator(s): I Douglas Dunipace, Michael Kelley, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | $143,598 |
| 20-02491 | 02/11/2021 | Claimant(s): Stephen Ledyard
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
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| 20-02062 | 01/13/2021 | Claimant(s): Francisco Almada
Claimant Lawyers(s): Christopher Warren
Respondent(s): Union Capital Company
Respondent Lawyers(s): Joseph Bodkin
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 20-01457 | 12/31/2020 | Claimant(s): Kelly Richards
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Capital Investment Group.
Respondent Lawyers(s): Steven Blair Wilson
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
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| 20-00749 | 12/29/2020 | Claimant(s): Deeann Griebel
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Stephen G. Topetzes
Arbitrator(s): Elliott Finkel, Kenneth R. Johnston, Kenneth L. Mann
Hearing Site: Phoenix, AZ
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| 20-02265 | 12/16/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Thomas E Shuck
Hearing Site: Phoenix, AZ
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| 20-02267 | 11/23/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
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| 20-01782 | 11/18/2020 | Claimant(s): William O'Connell
Claimant Lawyers(s): Gerry Giurato
Respondent(s): Ameriprise Financial Services
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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| 19-03430 | 11/05/2020 | Claimant(s): Fred Wagner, Roger Dael, WBI Management LLC
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Gaber
Respondent Lawyers(s): Thomas Werge
Arbitrator(s): Ralph H. Martin, Donald Dreyfus, Ernst Janensch
Hearing Site: Phoenix, AZ
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