| 21-01440 | 03/23/2022 | Claimant(s): Justin Hoyt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Chase Investment Services Corp., Wells Fargo Clearing Services
Respondent Lawyers(s): Jeffery D. Rodgers, Neal S. Robb
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | |
| 21-01996 | 03/17/2022 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Maria Esparza
Respondent Lawyers(s): Maria Esparza
Arbitrator(s): Sheila Grinell, Roger A. Geddes, Glenn Allen Baker
Hearing Site: Phoenix, AZ
|  | $0 |
| 18-01349 | 03/11/2022 | Claimant(s): Ivan Mailhot, Nancy Mailhot, Ivan Mailhot IRA, Nancy Mailhot IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Harold J. Merkow, Edwin J. Buckley, Ronald Dean Mayes
Hearing Site: Phoenix, AZ
| | $2,662,420 |
| 21-01708 | 02/03/2022 | Claimant(s): Scott Turcott
Claimant Lawyers(s): Brandon M. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Mark P. Harbison
Arbitrator(s): John B. Kinsellagh, Benjamin F. Breslauer, Howard Gerber
Hearing Site: Phoenix, AZ
| | |
| 20-03670 | 02/01/2022 | Claimant(s): Daniel Karlsberg
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 21-00268 | 01/12/2022 | Claimant(s): Robert Heller
Claimant Lawyers(s): Kevin Lampone
Respondent(s): William Pfeifer
Respondent Lawyers(s): Stephen J. Anthony
Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | |
| 19-01766 | 12/21/2021 | Claimant(s): Gail Higashi, Kevin Higashi
Claimant Lawyers(s): Lisa Anne Smith
Respondent(s): Wells Fargo Clearing Services, Ruth Transue
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Jay Lawrence Witkin, David S. Eisenberg, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | $300 |
| 20-01049 | 12/10/2021 | Claimant(s): CBIZ Financial Solutions.
Claimant Lawyers(s): Jeffrey S. Dunlap
Respondent(s): Timothy Schannep
Respondent Lawyers(s): Roscoe J. Mutz
Arbitrator(s): Kenneth R. Johnston, Marc Kalish, Harold J. Merkow
Hearing Site: Phoenix, AZ
| | |
| 20-00067 | 11/29/2021 | Claimant(s): Gary Deardorff
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): LPL Financial LLC, Next Financial Group.
Respondent Lawyers(s): John T. Unger, Sara B. Davis
Arbitrator(s): Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 21-01380 | 11/19/2021 | Claimant(s): Christopher Briggs
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Wayne Reid Nelson
Hearing Site: Phoenix, AZ
| | Expungement |
