| 20-02503 | 01/20/2023 | Claimant(s): Alison Barrett, Robert Barrett
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley, Kyle Backus
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Erik R. Siering, Roger A. Geddes, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | Expungement |
| 22-00407 | 12/20/2022 | Claimant(s): Shannon Larson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Equitable Advisors
Respondent Lawyers(s): Michael J. Biondi
Arbitrator(s): Patricia Diane Muse, Virginia H. Wertz, Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 22-00560 | 12/19/2022 | Claimant(s): Erin Daniels
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): BMO Harris Financial Advisors.
Respondent Lawyers(s): Maria L. Kreiter
Arbitrator(s): Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
| | |
| 22-00155 | 12/14/2022 | Claimant(s): Michael Self
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Prudential Equity Group, Piper Jaffray & Co.
Respondent Lawyers(s): Bridget Wherley, Jennifer E. Novoselsky
Arbitrator(s): Deana S. Peck, Richard Kent Mahrle, Matthew G. McGinnis
Hearing Site: Phoenix, AZ
| | |
| 21-00482 | 11/23/2022 | Claimant(s): Armand Ortega
Claimant Lawyers(s): Alan Baskin
Respondent(s): J.P. Morgan Securities, Ryan Schlappi, JP Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas A. Peterson, Jay H. Feldstein, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 21-00175 | 10/18/2022 | Claimant(s): Lori Limebeer
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Robert K. Jamieson
Arbitrator(s): Marc Kalish, Patrick Irvine, Thomas James Walsh
Hearing Site: Phoenix, AZ
| | Expungement |
| 22-00289 | 10/04/2022 | Claimant(s): Juan Ley
Claimant Lawyers(s): Cory L. Braddock
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Louis M. Parker, Adam Dylan Wick, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
| | |
| 21-02020 | 07/18/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mitchell Oldewurtel
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Deana S. Peck, Daniel Baruch Lidawer, David F. Sargent
Hearing Site: Phoenix, AZ
| | |
| 21-02565 | 06/30/2022 | Claimant(s): Kerri Jamison
Claimant Lawyers(s): Brian Luther
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
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