| 20-01486 | 05/27/2021 | Claimant(s): Orion Willis
Claimant Lawyers(s): Jennifer P. Ferrar
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael T. West
Arbitrator(s): Roger A. Geddes
Hearing Site: Phoenix, AZ
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| 19-03494 | 05/21/2021 | Claimant(s): Mahes Prasad
Claimant Lawyers(s): Alan Baskin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
| | |
| 20-02677 | 05/21/2021 | Claimant(s): Seth Henrie
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): Erik R. Siering
Hearing Site: Phoenix, AZ
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| 20-03762 | 05/21/2021 | Claimant(s): Samuel Hall
Claimant Lawyers(s): Samuel Hall
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Robert Dean McKinley
Hearing Site: Phoenix, AZ
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| 20-02697 | 05/19/2021 | Claimant(s): Jason Freiwald
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
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| 20-02946 | 05/18/2021 | Claimant(s): Matthew Williams
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Louis M. Parker, Denis Frank, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
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| 19-01888 | 05/18/2021 | Claimant(s): Amy Toliver, Cynthia Toliver, Janet Narduzzi
Claimant Lawyers(s): Stephen C. Mouritsen
Respondent(s): John Arnold, AXA Advisors
Respondent Lawyers(s): Daniela Paez, Nancy L. Hendrickson
Arbitrator(s): Jay H. Feldstein, David S. Eisenberg, Kenneth L. Mann
Hearing Site: Phoenix, AZ
|  | Expungement |
| 20-02239 | 05/12/2021 | Claimant(s): Janet Buggeln, Janet F. Buggeln Liv Trt u/a/d 5/12/17
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): George W. Harding, Aryka Steele Radke, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
| 20-02614 | 05/11/2021 | Claimant(s): Michael Meixler
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Edward Jones
Respondent Lawyers(s): Connor M. Trafton
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 20-03307 | 05/06/2021 | Claimant(s): Matthew Davies
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Merton E. Marks, Walter Steven Schwartz, John Josef Kazanjian
Hearing Site: Phoenix, AZ
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