| 19-00986 | 09/30/2019 | Claimant(s): William Zenk
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | |
| 18-02337 | 02/11/2019 | Claimant(s): James Phillips
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Richard D. Fincher
Hearing Site: Salt Lake City, UT
| | |
| 16-01655 | 02/27/2017 | Claimant(s): Larry Peterson
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Jonathan Sheklow, Kevin Hagan, Richard Bohack, Robert Jean
Respondent Lawyers(s): Jonathan Michael Sheklow, Kevin Edward Hagan, Richard Edward Bohack, Robert Jean
Arbitrator(s): Richard D. Fincher
Hearing Site: Albuquerque, NM
|  | $0 |
| 15-01677 | 05/04/2016 | Claimant(s): Jason Shook
Claimant Lawyers(s): Jason C. Shook
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Ryan T. Barke
Arbitrator(s): Kathy L. Eisenmenger, Richard D. Fincher, Carla B. Minckley
Hearing Site: Salt Lake City, UT
| | $0 |
| 15-01890 | 03/29/2016 | Claimant(s): Andrew Bingham
Claimant Lawyers(s): Andrew R. Bingham
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jennifer Persico
Arbitrator(s): Martin M. Berliner, John G. Manley, Richard D. Fincher
Hearing Site: Salt Lake City, UT
| | |
| 13-02193 | 11/12/2014 | Claimant(s): Randy Greene, Tanya Greene
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Charles E. Riggs, Richard D. Fincher, Bruce J. Pederson
Hearing Site: Albuquerque, NM
| | Expungement |
| 13-00319 | 03/13/2014 | Claimant(s): Douglas Singer
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Richard D. Fincher, Loren Scott Buell, Ronald Arthur Kloth
Hearing Site: Phoenix, AZ
| | |
| 13-01230 | 11/29/2013 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Christopher Ordway
Respondent Lawyers(s): Christopher Edward Ordway
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | |
| 10-02877 | 09/09/2011 | Claimant(s): Augusta Feinstein, Henry Feinstein, Augusta R. Feinstein Rollover IRA, Henry Feinstein Roth IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): Richard D. Fincher, Paul D. Butt, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $146,146 |
| 09-06707 | 07/26/2011 | Claimant(s): Michael Berovic, Berovic-Goshen Village LLC, Michael Berovic Revocable Living Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Christian Sayre-Smith, KMS Financial Services.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard D. Fincher, John Barton Schannep, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $242,056 |
