| 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 |
| 12-00793 | 07/30/2013 | Claimant(s): Philip Lovell, Philip Lovell Pension Plan, The Lovell Family Trusts
Claimant Lawyers(s): Marc Seldin Rosen
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Stephen J. Taddie, Ernest F. Modzelewski, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $1,802,510 |
| 10-04493 | 01/09/2012 | Claimant(s): James Donohue, James L. Donohue IRA, Revocable Living Trust 5/30/2000
Claimant Lawyers(s): Douglas A. Loefgren, James L. Donohue
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Donald Dreyfus, Denise Kathleen Gaines, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-05343 | 11/21/2011 | Claimant(s): M. Johnson
Claimant Lawyers(s): J. Noland Franz
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Katherine M. Harmeyer, Amy L. Wachs, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $148,990 |
| 09-06903 | 03/04/2011 | Claimant(s): Maureen Perfect
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Wachovia Securities, David Neunuebel, Dylan Minor
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mica T. Duncan, Marc Kalish, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $0 |
