| 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
| | |
| 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
| | |
| 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
| | |
| 17-00728 | 10/16/2020 | Claimant(s): The Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): John Conroy, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): LeRoy Melvin Gilbertson, Kenneth L. Mann, William B. Morgan
Hearing Site: Phoenix, AZ
|  | Dismissed |
| 19-00409 | 10/09/2020 | Claimant(s): Kamala Cherukuri, Subbarao Venkata Cherukuri
Claimant Lawyers(s): Subbaro V. Cherukuri
Respondent(s): TD Ameritrade., Paul Phillips
Respondent Lawyers(s): Ilana H. Reid
Arbitrator(s): Jerry H. Friedland, Jay H. Feldstein, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
| | $0 |
| 19-01774 | 09/25/2020 | Claimant(s): Michael Stevens, Michael Stevens IRA
Claimant Lawyers(s): Stephan Louviere
Respondent(s): LPL Financial LLC, Securities Service Network
Respondent Lawyers(s): Christopher G. Lazirini, Jon D. Kaplon
Arbitrator(s): David S. Eisenberg, Roger A. Geddes, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
| 19-02890 | 09/17/2020 | Claimant(s): Andrew Meyer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 20-00234 | 09/10/2020 | Claimant(s): Edward Engbarth
Claimant Lawyers(s): Edward Engbarth
Respondent(s): David Hands, Joseph Gunnar & Co. LLC
Respondent Lawyers(s): John E. Lawlor
Arbitrator(s): Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $0 |
| 19-02711 | 08/14/2020 | Claimant(s): Edmond Van Dierendonk, Susanna Van Dierendonk, The Van Dierendonk Family Trust
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Narinder Singh, Proequities.
Respondent Lawyers(s): Narinder Kaur Singh, Stephen C. Jackson
Arbitrator(s): Michael Kelley, John H. Fearnow, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
| | $391,153 |
| 20-01085 | 08/14/2020 | Claimant(s): Jennifer Harrenstein
Claimant Lawyers(s): Jennifer S. Harrenstein
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
