| 18-01023 | 07/31/2018 | Claimant(s): Rydan Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 17-02935 | 05/03/2018 | Claimant(s): Rebecca Kennell
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter Wheeler
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 12-00348 | 03/09/2016 | Claimant(s): Lila Jean Shay, Gerald and Katherine Darnell, Jack and Doris Huber, Robert and Robin Trick, Steven and Deborah Sheldon, William and Debbie Nelson, William and Sandra Burnside
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Mary Helen Mallett
Respondent Lawyers(s): Mary Helen Caprice Mallett
Arbitrator(s): W. Michael Kelley, John Edward Perry, Theodore J. DiSante
Hearing Site: Phoenix, AZ
|  | $305,000 |
| 14-01105 | 06/18/2015 | Claimant(s): Darshananda Revocable Living Trust
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Casey Lockard, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-01701 | 05/21/2015 | Claimant(s): John Anderson
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $300 |
| 12-00759 | 04/04/2014 | Claimant(s): Edward Dulin
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Richard Marc Weinroth, Peter Joseph Kalman, W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 13-00950 | 03/06/2014 | Claimant(s): Janice Johnston, Robert Johnston, Robert F. and Janice M. Johnston Rev. Tr
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Daryl Calton, Dwayne Calton, Ginny Calton, Virginia Calton, Calton & Associates.
Respondent Lawyers(s): Alan M. Wolper, Heidi E. Vonderheide
Arbitrator(s): Howard W. Shannon, Mica T. Duncan, W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 12-00851 | 02/12/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Kofron
Respondent Lawyers(s): Matthew Mark Kofron
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 11-03286 | 03/21/2012 | Claimant(s): Dennis Brooks
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): W. Michael Kelley
Hearing Site: Birmingham, AL
| | $23,661 |
| 11-01291 | 11/02/2011 | Claimant(s): Joseph Trudel
Claimant Lawyers(s): Joseph Trudel
Respondent(s): Sharebuilder Securities Corporation
Respondent Lawyers(s): Curtis Martin
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
