| 18-00718 | 09/26/2018 | Claimant(s): Christopher Mette
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeffrey S. Jacobi
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 17-03506 | 09/19/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 18-00416 | 08/15/2018 | Claimant(s): Trent Montague
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 17-03471 | 08/13/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Ann C. McCague, Neal S. Robb
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 18-01023 | 07/31/2018 | Claimant(s): Rydan Case
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Next Financial Group.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | |
| 16-01691 | 07/19/2018 | Claimant(s): Michael Friar, Ascend Strategic Partners
Claimant Lawyers(s): Robin M. Pearson
Respondent(s): Heiner Meldner, Cubic Tech Corporation
Respondent Lawyers(s): Cory L. Braddock
Arbitrator(s): Jay Lawrence Witkin, Sheila Grinell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 17-03297 | 07/11/2018 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Michael Miser
Respondent Lawyers(s): Michael George Miser
Arbitrator(s): William M. Howard
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 |
