| 15-02084 | 02/14/2017 | Claimant(s): Arianna Lin
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): John J. Balitis, Jay Lawrence Witkin, Roger A. Geddes
Hearing Site: Phoenix, AZ
|  | Expungement |
| 15-03089 | 01/12/2017 | Claimant(s): Robert Francis
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): David Smitham
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-01121 | 12/28/2016 | Claimant(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
| | $0 |
| 16-02232 | 12/27/2016 | Claimant(s): Phyllis Young
Claimant Lawyers(s): Phyllis R. Young
Respondent(s): USAA Investment Management Company
Respondent Lawyers(s): Theodore C. Schultz
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | $21,030 |
| 14-02763 | 12/15/2016 | Claimant(s): Patricia Flock, Shmily Trust U/A dtd 10/04/2000
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): William M. Howard, Donald Dreyfus, Kenneth L. Mann
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-02865 | 10/13/2016 | Claimant(s): Jay Simon
Claimant Lawyers(s): Hilton M. Weiner
Respondent(s): Anthony Monaco, Jonathan Rago, Kevin Meade, Nicholas Milano, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | $0 |
| 15-00831 | 10/12/2016 | Claimant(s): Hedayat Daie
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-00805 | 09/12/2016 | Claimant(s): Thomas Darga, Thomas M. Darga IRA
Claimant Lawyers(s): Jeffrey D. Gardner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lesley V. Tepper
Arbitrator(s): Paul A. Cash
Hearing Site: Phoenix, AZ
| | $300 |
| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
