| 18-00434 | 02/26/2019 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Joshua Bliss
Respondent Lawyers(s): Joshua Christopher Bliss
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 17-00246 | 02/14/2019 | Claimant(s): Walter Ryan
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard, Sheila Grinell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
|  | Expungement |
| 18-00248 | 10/02/2018 | Claimant(s): John Kincaid
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC, Legacy Financial Services.
Respondent Lawyers(s): Christina Vourakis, Michael J. Ernst
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 17-03297 | 07/11/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Michael Miser
Respondent Lawyers(s): Michael George Miser
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-02639 | 03/25/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique Heller
Respondent(s): David Cohn
Respondent Lawyers(s): David Edward Cohn
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 14-02689 | 03/20/2015 | Claimant(s): Hollye Canez
Claimant Lawyers(s): Hollye Canez
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $0 |
| 14-02200 | 03/12/2015 | Claimant(s): Douglas Haviland
Claimant Lawyers(s): Douglas Allan Haviland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $665 |
| 11-04736 | 04/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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