| 18-02264 | 10/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Matthew P. Fischer
Respondent(s): John Nielsen
Respondent Lawyers(s): John C. Nielsen
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 16-02657 | 01/23/2017 | Claimant(s): Morgan Stanley, MSSB FA Note Holdings LLC
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Brian Castillo
Respondent Lawyers(s): Brian Richardson Castillo
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 15-02102 | 03/18/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Lewis Davis
Respondent Lawyers(s): Lewis Adam Davis
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 14-03479 | 04/22/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Nathan Zimmerman
Respondent Lawyers(s): Nathan Trent Zimmerman
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 13-02138 | 06/10/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Matthew Beninato
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 13-00236 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Marcos Madril
Respondent Lawyers(s): Marcos A. Madril
Arbitrator(s): I. Douglas Dunipace, Seymour A. Kolman, Jamie Lee Wicks
Hearing Site: Phoenix, AZ
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| 11-04072 | 06/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Jonathan Tuoti
Respondent Lawyers(s): Jonathan J. Tuoti
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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