22-02461 | 10/18/2023 | Claimant(s): Clarissa Stecher, Deb Wanner, Donald Wanner, Jean Wanner, Joe Stecher, Rhonda Scheetz Claimant Lawyers(s): J. Owen Murrin Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Hilary D. Wells Arbitrator(s): John J. Fitzpatrick, Michael D. Briggs, Richard Beens Hearing Site: Bismarck, ND
| | $0 |
22-01625 | 03/15/2023 | Claimant(s): Lawrence Ford Claimant Lawyers(s): La Verne C. Simmons Respondent(s): Pershing LLC, Principal Securities., Principal Financial Group Respondent Lawyers(s): Kathryn R. Eldridge Arbitrator(s): William W. Haskell, David I. Levine, Michael D. Briggs Hearing Site: San Francisco, CA
| | $0 |
21-01144 | 02/10/2022 | Claimant(s): Carol Keene Claimant Lawyers(s): Carol Keene Respondent(s): Anthony Valente, Morgan Stanley, Ronnie Guidone, Yuji Fujii Respondent Lawyers(s): Abigail D. Elrod, Stephany D. McLaughlin Arbitrator(s): Albert T. T. Cook, Paul E. Dahlman, Michael D. Briggs Hearing Site: Albuquerque, NM
| | Expungement |
20-03501 | 01/21/2022 | Claimant(s): David E. Hillin IRA, David and Denise Hillin Trust Claimant Lawyers(s): D. Daxton White Respondent(s): Geneos Wealth Management Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Lynne M. Gomez, Paul E. Dahlman, Michael D. Briggs Hearing Site: Oklahoma City, OK
| | Expungement |
16-00745 | 08/05/2019 | Claimant(s): Devandra Patel, Meenakshi Patel, DMPPP Claimant Lawyers(s): Richard Frankowski Respondent(s): Niyukt Bhasin, NSM Securities. Respondent Lawyers(s): Niyukt Raghu Bhasin Arbitrator(s): Paul H. Lamboley, Michael C. Anigbogu, Michael D. Briggs Hearing Site: Reno, NV
| | $0 |
17-00135 | 12/19/2017 | Claimant(s): Dwight Hansen, Julie Hansen, Hansen's Grain Inc., Dwight Jay Hansen IRA Claimant Lawyers(s): Robert L. Gonser Respondent(s): Brandon Stimpson, Heath Bowen, Allegis Investment Services Respondent Lawyers(s): Tamara A. Seelman Arbitrator(s): Larry T. Coady, G. E. Craig Doupe, Michael D. Briggs Hearing Site: Boise, ID
| | Dismissed by Rule (12200/12201) |
15-01410 | 07/25/2017 | Claimant(s): Russell Wilson Claimant Lawyers(s): Russell Wilson Respondent(s): Qi Huang, Stephen Grivas, Obsidian Financial Group Respondent Lawyers(s): Kevin Sharma, Qi Huang, Stephen Grivas Arbitrator(s): William L. Merkin, Michael D. Briggs, Randall Brian Christison Hearing Site: San Diego, CA
| | $157,300 |
14-02898 | 05/08/2017 | Claimant(s): Benjamin Peters Trust dtd 12/3/1993, Ellen Mia Peters Trust, Lynn E. Gorguze Separate Property Trust, Vincent and Gloria Gorguze Trust dtd 3/2 Claimant Lawyers(s): John G. Rich, Ross B. Intelisano Respondent(s): Candace Weir, C. L. King & Associates. Respondent Lawyers(s): Christopher F. Robertson, Richard A. Roth Arbitrator(s): Otis E. Hackett, Michael D. Briggs, Randall Brian Christison Hearing Site: San Diego, CA
| | $0 |
14-02219 | 09/17/2015 | Claimant(s): Ronald Barbanell, Ronald Barbanell U/A/D 2-26-1993 Trust Claimant Lawyers(s): John Lawrence Allen Respondent(s): Morgan Stanley Respondent Lawyers(s): Chan H. Nam Arbitrator(s): Michael D. Briggs Hearing Site: San Diego, CA
| | Expungement |
12-02484 | 10/09/2014 | Claimant(s): U.S. Bancorp Investments. Claimant Lawyers(s): Ashley T. Hirano Respondent(s): Bradley Schmitt Respondent Lawyers(s): Kevin J. Mirch Arbitrator(s): Thomas Erique DuVoisin, Michael D. Briggs, Robert E. Witt Hearing Site: San Diego, CA
| | |