| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
|  | Expungement |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 16-00415 | 07/08/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Keeland Howe
Respondent Lawyers(s): Keeland Douglas Howe
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 14-02522 | 05/05/2016 | Claimant(s): Donna Gall, Lillian Mae McDonald IRA, McDonald Family Trust B-UA 03/09/2000, McDonald Family Trust U/A 04/10/1984
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Morgan Stanley
Respondent Lawyers(s): Judy Louie, Melissa M. Muehlfeld
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Karen D. Hanson
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-01215 | 04/14/2016 | Claimant(s): Anne Mohr, Scott Mohr
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Sagepoint Financial., Michael Santoro
Respondent Lawyers(s): Greg Curley
Arbitrator(s): John H. Fearnow
Hearing Site: Phoenix, AZ
| | Expungement |
| 15-02639 | 03/25/2016 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Dominique Heller
Respondent(s): David Cohn
Respondent Lawyers(s): David Edward Cohn
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 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
| | |
| 12-00348 | 03/09/2016 | Claimant(s): Lila Jean Shay, Gerald and Katherine Darnell, Jack and Doris Huber, Robert and Robin Trick, Steven and Deborah Sheldon, William and Debbie Nelson, William and Sandra Burnside
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Mary Helen Mallett
Respondent Lawyers(s): Mary Helen Caprice Mallett
Arbitrator(s): W. Michael Kelley, John Edward Perry, Theodore J. DiSante
Hearing Site: Phoenix, AZ
| | $305,000 |
