| 14-01701 | 05/21/2015 | Claimant(s): John Anderson
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
|  | $300 |
| 11-04553 | 05/20/2015 | Claimant(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
| | $574,675 |
| 14-01243 | 04/17/2015 | Claimant(s): Scott Brittenham, Scott Brittenham Trust U/A DTD 4/17/12
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Wells Fargo Advisors, Martin Welzmuller
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): George W. Harding, Paul J. Robinson, Louis M. Parker
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-03560 | 04/17/2015 | Claimant(s): Sandra Britton on behalf of her IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): First Financial Equity Corporation
Respondent Lawyers(s): Brian J. Palmer
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 14-02689 | 03/20/2015 | Claimant(s): Hollye Canez
Claimant Lawyers(s): Hollye Canez
Respondent(s): Capital One Sharebuilder.
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $0 |
| 13-01207 | 03/16/2015 | Claimant(s): James Wick
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas A. Peterson, Patricia G. Parthe, Louis M. Parker
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-02200 | 03/12/2015 | Claimant(s): Douglas Haviland
Claimant Lawyers(s): Douglas Allan Haviland
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | $665 |
| 13-01789 | 02/11/2015 | Claimant(s): John & Karen Opilowsky Trust U/A 2/24/00
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Robert S. McConnell, Jerry H. Friedland, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02221 | 01/20/2015 | Claimant(s): Edward Schwartz
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-01702 | 01/13/2015 | Claimant(s): Diane Anderson
Claimant Lawyers(s): Bryan Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
