| 18-02264 | 10/12/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Matthew P. Fischer
Respondent(s): John Nielsen
Respondent Lawyers(s): John C. Nielsen
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 17-02071 | 06/18/2018 | Claimant(s): Daniel Gallagher, Theresa Gallagher
Claimant Lawyers(s): David Neuman
Respondent(s): Ameritas Investment Corp.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
|  | Dismissed by Rule 12206 |
| 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 |
| 15-03469 | 11/13/2017 | Claimant(s): Howard Brinkerhoff
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Timothy Leahy
Respondent Lawyers(s): Timothy Francis Leahy
Arbitrator(s): I. Douglas Dunipace, George W. Harding, Garnett Sailor
Hearing Site: Phoenix, AZ
| | $50,000 |
| 16-02657 | 01/23/2017 | Claimant(s): Morgan Stanley, MSSB FA Note Holdings LLC
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Brian Castillo
Respondent Lawyers(s): Brian Richardson Castillo
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 15-00297 | 07/14/2016 | Claimant(s): Leah Hancock, LH Publishing LLC
Claimant Lawyers(s): Daniel Gwertzman
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): I. Douglas Dunipace, Howard W. Shannon, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $125,300 |
| 15-02102 | 03/18/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Lewis Davis
Respondent Lawyers(s): Lewis Adam Davis
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 13-03731 | 11/19/2015 | Claimant(s): Charles Horton
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): I. Douglas Dunipace, Jerry H. Friedland, Zeek Ojeh
Hearing Site: Phoenix, AZ
| | $0 |
| 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 |
