| 21-00482 | 11/23/2022 | Claimant(s): Armand Ortega
Claimant Lawyers(s): Alan Baskin
Respondent(s): J.P. Morgan Securities, Ryan Schlappi, JP Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas A. Peterson, Jay H. Feldstein, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | Expungement |
| 21-02020 | 07/18/2022 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Mitchell Oldewurtel
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Deana S. Peck, Daniel Baruch Lidawer, David F. Sargent
Hearing Site: Phoenix, AZ
| | |
| 21-02300 | 04/06/2022 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Alan Baskin
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Francis J. Skinner
Arbitrator(s): Daniel Baruch Lidawer, Jay Lawrence Witkin, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 19-03494 | 05/21/2021 | Claimant(s): Mahes Prasad
Claimant Lawyers(s): Alan Baskin
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Barbara M. Zak
Hearing Site: Phoenix, AZ
| | |
| 18-04092 | 11/05/2019 | Claimant(s): Marc Menton
Claimant Lawyers(s): Alan Baskin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald A. Corbett
Arbitrator(s): Jay Lawrence Witkin, Michael Kelley, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | |
| 16-01790 | 06/28/2017 | Claimant(s): Rosemarie McBride
Claimant Lawyers(s): Adam M. Green
Respondent(s): Wells Fargo Advisors Financial Network, Janet Horowitz
Respondent Lawyers(s): Alan Baskin, Judy Louie
Arbitrator(s): Howard R. Gaines, Jan Marie Mackulak, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-01025 | 12/29/2014 | Claimant(s): Ernst Blumenthal
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Lawrence Labine, DeWaay Advisory, Dewaay Financial Network
Respondent Lawyers(s): Alan Baskin, Mark Davis
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $103,070 |
| 10-05591 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Ho
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicolas Castaneda
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Paul C. Bookidis, Paul A. Cash, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | |
| 12-00566 | 03/08/2012 | Claimant(s): Robert Peyser
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Justine Hurry, Scottsdale Capital Advisors Corp.
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Thomas Michael Dillon, Jeffrey R. Roth, Robert Charles Stamm
Hearing Site: Miami, FL
| | Expungement |
