23-01057 | 04/12/2024 | Claimant(s): Michael Lombardi Claimant Lawyers(s): Alan S. Baskin Respondent(s): David Sherwood, Greenberg Financial Group Respondent Lawyers(s): Rachel K. Douglas Arbitrator(s): Richard Kent Mahrle Hearing Site: Phoenix, AZ
| | $102,559 |
23-02601 | 01/24/2024 | Claimant(s): Joseph Doku Claimant Lawyers(s): Christopher H Tovar Respondent(s): Mutual of America Securities LLC Respondent Lawyers(s): John McLean Arbitrator(s): Lanny M. Leff, Michael Kelley, Richard Kent Mahrle Hearing Site: Phoenix, AZ
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22-00164 | 05/05/2023 | Claimant(s): Steven Kurzet Claimant Lawyers(s): Scott A. Shanes Respondent(s): Fidelity Brokerage Services LLC, National Financial Services LLC Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Joseph Winter, Jay H. Feldstein, Richard Kent Mahrle Hearing Site: Las Vegas, NV
| | $0 |
22-00155 | 12/14/2022 | Claimant(s): Michael Self Claimant Lawyers(s): Avinoam Rosenfeld Respondent(s): Prudential Equity Group, Piper Jaffray & Co. Respondent Lawyers(s): Bridget Wherley, Jennifer E. Novoselsky Arbitrator(s): Deana S. Peck, Richard Kent Mahrle, Matthew G. McGinnis Hearing Site: Phoenix, AZ
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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
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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 |
20-01782 | 11/18/2020 | Claimant(s): William O'Connell Claimant Lawyers(s): Gerry Giurato Respondent(s): Ameriprise Financial Services Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Richard Kent Mahrle Hearing Site: Phoenix, AZ
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18-03492 | 10/14/2019 | Claimant(s): William Siu Claimant Lawyers(s): Jon A Titus Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Tara A. LaClair Arbitrator(s): Richard Kent Mahrle, John Joseph Welsh, Jerome Allan Landau Hearing Site: Phoenix, AZ
| | $330,000 |
16-01659 | 06/02/2017 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Christopher P. Litterio Respondent(s): John Rietz Respondent Lawyers(s): Mark D. Chester Arbitrator(s): Cary L. Weissman, Richard Marc Weinroth, Richard Kent Mahrle Hearing Site: Phoenix, AZ
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11-02987 | 03/13/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Christopher S. Koller Respondent(s): Rene' Espinoza Respondent Lawyers(s): Peter Roeser Arbitrator(s): Marc Kalish, James W. Warren, Richard Kent Mahrle Hearing Site: Phoenix, AZ
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