Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 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 | ||
| 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 | ||
| 20-02663 | 05/05/2021 | Claimant(s): William Herf Claimant Lawyers(s): Dochtor Kennedy Respondent(s): B. C. Ziegler And Company Respondent Lawyers(s): Jon Hackbarth Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-02989 | 05/04/2021 | Claimant(s): Kerri Jamison Claimant Lawyers(s): Zachary Hayes-Macauluso Respondent(s): NewBridge Securities Corp. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Renee Bryna Gerstman Hearing Site: Phoenix, AZ | ||
| 20-02680 | 04/29/2021 | Claimant(s): Max Sanel Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Morgan Stanley Respondent Lawyers(s): Simon M. Levy Arbitrator(s): Erik R. Siering Hearing Site: Phoenix, AZ | ||
| 20-02892 | 04/23/2021 | Claimant(s): William Torriente Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Judy Louie Arbitrator(s): Merton E. Marks Hearing Site: Phoenix, AZ | ||
| 20-03178 | 04/21/2021 | Claimant(s): Todd Anderson Claimant Lawyers(s): Ross J. Kartez Respondent(s): NYLife Securities LLC Respondent Lawyers(s): Richard F. Lubarsky Arbitrator(s): Timothy J. Kroll Hearing Site: Phoenix, AZ | ||
| 19-00519 | 04/08/2021 | Claimant(s): Claimant Lawyers(s): Respondent(s): TD Ameritrade., Purshe Kaplan Sterling Investments Respondent Lawyers(s): Neil S. Baritz, Sanay B. Panchal Arbitrator(s): Richard D. Fincher, Delores Manwar, Kenneth Layne Morrill Hearing Site: Phoenix, AZ | | Expungement |
| 20-02006 | 03/26/2021 | Claimant(s): James Underhill Claimant Lawyers(s): Tosh D Grebenik Respondent(s): Voya Financial Advisors. Respondent Lawyers(s): Matthew Tracy Arbitrator(s): Howard R. Gaines Hearing Site: Phoenix, AZ |