| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
|  | Dismissed by FINRA 12206 |
| 20-00220 | 05/28/2021 | Claimant(s): Stephen M. Salka Declaration of Trust
Claimant Lawyers(s): Alan Baskin
Respondent(s): Frank Calise
Respondent Lawyers(s): Chad R. Kaffer
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 20-01698 | 02/19/2021 | Claimant(s): Estate of George F. Kalil
Claimant Lawyers(s): Tom Slutes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Marc Kalish, Jay Lawrence Witkin, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ
| | $0 |
| 18-02940 | 10/22/2020 | Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206/12504 |
| 19-01422 | 07/17/2020 | Claimant(s): Lincoln Capital Partnership, LLLP, Washington Capital Partnership, Southpac Trust
Claimant Lawyers(s): Berry R. Charles
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish, Zeek Ojeh, Leslie O Campbell
Hearing Site: Phoenix, AZ
| | Dismissed |
| 19-01497 | 11/11/2019 | Claimant(s): Edward Engbarth
Claimant Lawyers(s): Edward Engbarth
Respondent(s): Joseph Amato, Alexander Capital, L.P.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $10,141 |
| 15-00734 | 04/18/2019 | Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
| | $1,145,240 |
| 17-03261 | 10/23/2018 | Claimant(s): Greg Biddle, Karla Biddle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 16-02013 | 08/08/2018 | Claimant(s): Bryan Hanson, Linda Hanson, Bryan K. Hanson Revocable Trust
Claimant Lawyers(s): Ryan S. Cook
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): Marc Kalish, David S. Eisenberg, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $0 |
| 17-00051 | 06/25/2018 | Claimant(s): David Coletti, Gail Charles, CDG (Ohio) LLC
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Bruce Greenwald, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): George J. Karlsven, Daniel M. Yamshon, Marc Kalish
Hearing Site: Salt Lake City, UT
| | Expungement |
