| 13-02816 | 12/23/2015 | Claimant(s): John Cartolano, NetVest Financial
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Howard W. Shannon, Douglas E. McArthur, Loren Scott Buell
Hearing Site: Phoenix, AZ
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| 15-00826 | 12/09/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Matthew Miller
Respondent Lawyers(s): Matthew C. Miller
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
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| 13-03273 | 11/10/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Patricia G. Parthe, Louis M. Parker, Peter Joseph Kalman
Hearing Site: Phoenix, AZ
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| 14-00720 | 10/22/2015 | Claimant(s): Barbara Sellick
Claimant Lawyers(s): Barbara M. Sellick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Jay Lawrence Witkin, Holly A. Hart, Joseph E. Mais
Hearing Site: Phoenix, AZ
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| 14-00260 | 08/24/2015 | Claimant(s): Michael Choy
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Lanny M. Leff
Hearing Site: Phoenix, AZ
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| 15-00217 | 07/27/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Matthew Harrison
Respondent Lawyers(s): Steven R. Rensch
Arbitrator(s): Jay Lawrence Witkin
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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| 14-00518 | 04/10/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Edward Sitton
Respondent Lawyers(s): Edward R. Sitton
Arbitrator(s): Patricia G. Parthe
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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| 13-03210 | 03/04/2015 | Claimant(s): Householder Group Financial Advisors, LL
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Debra Householder, Scott Householder, HG Marketing Services., Householding., Securities Service Network., TGH.
Respondent Lawyers(s): Christopher G. Lazarini, Robert D. Mitchell
Arbitrator(s): James E. Stark, Seymour A. Kolman, Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
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