| 21-00268 | 01/12/2022 | Claimant(s): Robert Heller
Claimant Lawyers(s): Kevin Lampone
Respondent(s): William Pfeifer
Respondent Lawyers(s): Stephen J. Anthony
Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | |
| 20-01879 | 11/08/2021 | Claimant(s): Karla Kretsch, The Donald & Karla Kretsch Family Trust
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Guy Newman
Respondent Lawyers(s): Guy James Newman
Arbitrator(s): Howard R. Gaines, Steven M. Guttell, Carrie Lynette Thompson Jones
Hearing Site: Phoenix, AZ
|  | $67,572 |
| 17-01765 | 12/20/2018 | Claimant(s): Scottsdale Capital Advisors Corp
Claimant Lawyers(s): Charles Harder
Respondent(s): Eric Miller
Respondent Lawyers(s): Eric Miller
Arbitrator(s): Kenneth R. Johnston, Deana S. Peck, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 17-03195 | 04/11/2018 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Bryce Shelman
Respondent(s): Richard Blythe
Respondent Lawyers(s): Bruce R. Heurlin
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 16-02595 | 09/08/2017 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Ted Hawks
Respondent Lawyers(s): Ted W. Hawks
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 16-00840 | 07/28/2017 | Claimant(s): William Lane
Claimant Lawyers(s): William James Lane
Respondent(s): George Romano, Mark Quinzi, Farmers Financial Solutions.
Respondent Lawyers(s): Christopher S. Maile, Richard C. Moore
Arbitrator(s): Jerry L. Riggins, Steven M. Guttell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 16-00824 | 05/23/2017 | Claimant(s): Robert Lappin
Claimant Lawyers(s): Alvin S. Tobias
Respondent(s): Joseph Edwins
Respondent Lawyers(s): Jake D. Curtis
Arbitrator(s): Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 14-02450 | 06/03/2016 | Claimant(s): Anna Baugh, Colin Baugh, Madeline Baugh, Margaret Polito, Madeline Baugh IRA, Margaret Polito IRA
Claimant Lawyers(s): Adam J. Weinstein
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Matthew D. Klafter
Arbitrator(s): Jo-Marie Lisa, Steven M. Guttell, John Austin Darden
Hearing Site: Albuquerque, NM
| | $150,600 |
| 14-03804 | 10/16/2015 | Claimant(s): The Jerome L. Glazer Rev Trust UAD 06/09
Claimant Lawyers(s): Jerome L. Glazer
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Peter M. Chena
Arbitrator(s): Patricia G. Parthe, Steven M. Guttell, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | $300 |
| 12-03374 | 02/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Michael DiPietro, First Allied Securities.
Respondent Lawyers(s): Jessica Levine, Marie Mirch
Arbitrator(s): Brian W. Yee, Paul A. Cash, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | $0 |
