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FINRA Awards for I. Douglas Dunipace

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Displaying 10 out of 10 results
Case Number Award Date Case Summary Customer Case? Amount Granted
17-0207106/18/2018Claimant(s): Daniel Gallagher, Theresa Gallagher
Claimant Lawyers(s): David Neuman
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Checkmark IconDismissed by Rule 12206
17-0027406/13/2018Claimant(s): Carey Bertsch, Deborah Williamson, Jeffrey Bertsch, Karin Kellogg, Michael McEnany, Pamela Bertsch, Randall Bertsch, Robin Bertsch, Vicki Bertsch, Virginia Bertsch, Walter Kellogg, Carey Bertsch IRA, Karin kellogg IRA, Robin Bertsch IRA, Vicki Bertsch IRA, Walter E. Kellogg, III IRA, Lyle E. Bertsche Revocable Trust u/s dtd, McEnany Williamson Revocable Living Trus, Virgnia L. Bertsch Revocable Trrust u/a, III Trust u/a dtd 2/2
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I. Douglas Dunipace, Marc Kalish, David S. Eisenberg
Hearing Site: Phoenix, AZ
Checkmark IconExpungement
15-0346911/13/2017Claimant(s): Howard Brinkerhoff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Timothy Leahy
Respondent Lawyers(s): Timothy Francis Leahy
Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor
Hearing Site: Phoenix, AZ
Checkmark Icon$50,000
16-0112112/28/2016Claimant(s): Ruben Rucker
Claimant Lawyers(s): Jennifer Tarr
Respondent(s): Michael Dugan, Paul Taboada
Respondent Lawyers(s): David A. Schrader, Michael Joseph Dugan
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Checkmark Icon$0
15-0029707/14/2016Claimant(s): Leah Hancock, LH Publishing LLC
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): I. Douglas Dunipace, Howard W. Shannon, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
Checkmark Icon$125,300
13-0373111/19/2015Claimant(s): Charles Horton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): I. Douglas Dunipace, Jerry H. Friedland, Zeek Ojeh
Hearing Site: Phoenix, AZ
Checkmark Icon$0
11-0455305/20/2015Claimant(s): IRA FBO Donald F. McDonald, IRA FBO Rosemary M. McDonald, Donald & Rosemary McDonald Family Trust
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): William Bailey
Respondent Lawyers(s): William Austin Bailey
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
Checkmark Icon$574,675
12-0071105/28/2013Claimant(s): Myron Murray, Rita Murray
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Gordon Yee
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): I. Douglas Dunipace, Thomas A. Peterson, Virginia H. Wertz
Hearing Site: Phoenix, AZ
Checkmark Icon$100,400
08-0416602/12/2010Claimant(s): John Hepler, Viola Hepler, Hepler Joint Tenant Survivorship
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Gary Capra, John Astori
Respondent Lawyers(s): John C. Legutki, John Astori
Arbitrator(s): I. Douglas Dunipace, Leon G. Mackey, Pamela M. Katzenberg
Hearing Site: Phoenix, AZ
Checkmark Icon$101,000
08-0252003/09/2009Claimant(s): Options House.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Todd Mulliner, Crempsh.
Respondent Lawyers(s): Corporate Officer, Todd Mulliner
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Salt Lake City, UT
Checkmark Icon$0

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