| 17-01765 | 12/20/2018 | Claimant(s): Scottsdale Capital Advisors Corp
Claimant Lawyers(s): Charles Harder
Respondent(s): Eric Miller
Respondent Lawyers(s): Eric Miller
Arbitrator(s): Kenneth R. Johnston, Deana S. Peck, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | |
| 16-03759 | 12/11/2018 | Claimant(s): Elliot Manson
Claimant Lawyers(s): Christopher D. Lonn
Respondent(s): Robert Dagosta, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Stephen J. Holtman
Arbitrator(s): Virginia H. Wertz, Brian W. Yee, John H. Fearnow
Hearing Site: Phoenix, AZ
|  | $200,000 |
| 18-00606 | 12/03/2018 | Claimant(s): Karekin Kaprelian
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
| | |
| 18-02564 | 11/27/2018 | Claimant(s): Donald Moldermaker
Claimant Lawyers(s): Donald A. Moldermaker
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Shannon H. Geonetta
Arbitrator(s): Sandra L. Malek
Hearing Site: Phoenix, AZ
| | $0 |
| 18-01301 | 11/21/2018 | Claimant(s): Jason Zilveti
Claimant Lawyers(s): Hillary Darnell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 17-02757 | 10/22/2018 | Claimant(s): James Poindexter
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-00417 | 10/22/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Denise M. Hammond
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 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
| | |
| 18-00248 | 10/02/2018 | Claimant(s): John Kincaid
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Advisors LLC, Legacy Financial Services.
Respondent Lawyers(s): Christina Vourakis, Michael J. Ernst
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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