| 17-00274 | 06/13/2018 | Claimant(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
|  | Expungement |
| 13-01388 | 04/18/2018 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): David Boling, James Roy, Carolina Capital Markets.
Respondent Lawyers(s): Joseph L. Hood, Thomas G. Shugrue
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $2,013,780 |
| 17-00015 | 09/11/2017 | Claimant(s): Don Monteath
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 15-01510 | 06/22/2017 | Claimant(s): Larry Haberkorn
Claimant Lawyers(s): Larry Haberkorn
Respondent(s): Wells Fargo Advisors, Matthew Salamon
Respondent Lawyers(s): Judy Louie
Arbitrator(s): George W. Harding, Paul J. Robinson, Marc Kalish
Hearing Site: Phoenix, AZ
| | $0 |
| 16-01789 | 06/21/2017 | Claimant(s): Edith Seely, Seely Family Trust dated 07-21-2001
Claimant Lawyers(s): J. Owen Murrin
Respondent(s): Wells Fargo Advisors, Joseph Ballantyne
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish, Loren Scott Buell, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-00439 | 03/07/2017 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): Kenley Lawton
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 14-02644 | 05/09/2016 | Claimant(s): Brock Lansdale, Jill Lansdale
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Wells Fargo Advisors, Tim Haley
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Peter Kay, Marc Kalish, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | $113,610 |
| 13-01756 | 03/28/2014 | Claimant(s): Doretta Oaklief WFBNA Custodian Trad IRA
Claimant Lawyers(s): Doretta Lynn Oaklief
Respondent(s): Wells Fargo Advisors, Maria Brady
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $61,725 |
| 10-02280 | 06/05/2012 | Claimant(s): The Kevin S. Phillips Define Benefit
Claimant Lawyers(s): Martin R. Galbut
Respondent(s): Angela Phillips, Kevin Phillips, Woodbury Financial Services.
Respondent Lawyers(s): Jeffrey D. Hedlund, Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Thomas P. Delnoce, Marc Kalish
Hearing Site: Phoenix, AZ
| | $171,469 |
