| 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
| | |
| 21-03052 | 06/30/2022 | Claimant(s): Craig Bottolfson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
| | |
| 21-02325 | 06/03/2022 | Claimant(s): Travis McGann
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Valerie I. Holder
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 20-03591 | 05/26/2022 | Claimant(s): Carlos Tapia Sanchez
Claimant Lawyers(s): Burt Newsome
Respondent(s): Morgan Stanley, Francisco Valenzuela
Respondent Lawyers(s): Francisco Javier Valenzuela, Patricia V. Waterkotte
Arbitrator(s): Timothy J. Kroll, Ronald Stewart Ripley, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
|  | $330,000 |
| 21-02771 | 05/24/2022 | Claimant(s): Jeremiah Butout
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): New England Securities Corporation
Respondent Lawyers(s): Martin Harris
Arbitrator(s): David S. Eisenberg
Hearing Site: Phoenix, AZ
| | |
| 22-00146 | 05/24/2022 | Claimant(s): Robert Rockefeller
Claimant Lawyers(s): Robert Rockefeller
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Jeffery D. Rodgers
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $125 |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 21-02300 | 04/06/2022 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Alan Baskin
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Francis J. Skinner
Arbitrator(s): Daniel Baruch Lidawer, Jay Lawrence Witkin, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
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