| 20-03438 | 03/31/2021 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): John W. Joyce
Respondent(s): Jacob Franco
Respondent Lawyers(s): Jacob Franco
Arbitrator(s): F. Guthrie Castle
Hearing Site: Albuquerque, NM
| | |
| 18-02622 | 03/27/2020 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Anthony Steffan, Pete Henderson
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Martin M. Berliner, Paul E. Dahlman, John H. Fearnow
Hearing Site: Albuquerque, NM
| | |
| 16-02348 | 07/11/2019 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): James Armer
Respondent Lawyers(s): James David Armer
Arbitrator(s): John H. Fearnow
Hearing Site: Albuquerque, NM
| | |
| 16-03473 | 05/17/2019 | Claimant(s): Brenda Balok, Stephen Balok
Claimant Lawyers(s): Clinton Marrs
Respondent(s): Morgan Stanley
Respondent Lawyers(s): John Worden
Arbitrator(s): Thaddeus J. Tecza, Herbert Liberman, James Mark Eason
Hearing Site: Albuquerque, NM
|  | $519,089 |
| 18-01162 | 11/29/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Investors Capital Corp.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Albuquerque, NM
| | |
| 18-01266 | 11/14/2018 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, The Equitable Life Assurance Society
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Albuquerque, NM
| | |
| 17-00452 | 07/20/2018 | Claimant(s): Andres Romero
Claimant Lawyers(s): David Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Albuquerque, NM
| | $48,266 |
| 16-03006 | 10/06/2017 | Claimant(s): Travis Hughes
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors, Investors Capital Corp.
Respondent Lawyers(s): Hector D. Geribon, Jeremy Carr
Arbitrator(s): Donald Dreyfus
Hearing Site: Albuquerque, NM
| | |
| 15-02841 | 07/28/2017 | Claimant(s): Board of County Commissioners of the Cou
Claimant Lawyers(s): Clinton W Marrs
Respondent(s): Thomas Hayes, Bosc.
Respondent Lawyers(s): Paul DeMuro
Arbitrator(s): Barry H. Barnett, Patricia G. Parthe, Harvey W Gordon
Hearing Site: Albuquerque, NM
| | $0 |
| 16-01123 | 03/09/2017 | Claimant(s): Anthony Pryor
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): George W. Harding, Herbert Liberman, Walter J. Huntley
Hearing Site: Albuquerque, NM
| | $357,000 |
