| 12-01906 | 03/12/2014 | Claimant(s): Deborah Selland, James Selland
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Jason Troth, Kyle Spahn, Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Robert S. McConnell, David F. Sargent, David S. Eisenberg
Hearing Site: Phoenix, AZ
|  | Expungement |
| 13-00950 | 03/06/2014 | Claimant(s): Janice Johnston, Robert Johnston, Robert F. and Janice M. Johnston Rev. Tr
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Daryl Calton, Dwayne Calton, Ginny Calton, Virginia Calton, Calton & Associates.
Respondent Lawyers(s): Alan M. Wolper, Heidi E. Vonderheide
Arbitrator(s): Howard W. Shannon, Mica T. Duncan, W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 13-01475 | 03/04/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Thomas Staley
Respondent Lawyers(s): Thomas J. Staley
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
| | |
| 12-03374 | 02/10/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Michael DiPietro, First Allied Securities.
Respondent Lawyers(s): Jessica Levine, Marie Mirch
Arbitrator(s): Brian W. Yee, Paul A. Cash, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | $0 |
| 12-03293 | 02/07/2014 | Claimant(s): Gary Frandino
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): George Kardaras
Respondent Lawyers(s): George Alexander Kardaras
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | $581,975 |
| 12-03892 | 01/22/2014 | Claimant(s): Joseph Rocco
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Andrew Blease, American General Securities Incorporated
Respondent Lawyers(s): Edwin A. Barkel, Justin Sacca
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-00236 | 01/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kevin J. Woods
Respondent(s): Marcos Madril
Respondent Lawyers(s): Marcos A. Madril
Arbitrator(s): I. Douglas Dunipace, Seymour A. Kolman, Jamie Lee Wicks
Hearing Site: Phoenix, AZ
| | |
| 12-02692 | 12/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Seth Goldberg
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Phoenix, AZ
| | |
| 13-01206 | 12/06/2013 | Claimant(s): Anastasio Suarez
Claimant Lawyers(s): Anastasio Suarez
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | |
| 13-01230 | 11/29/2013 | Claimant(s): NEXT Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Christopher Ordway
Respondent Lawyers(s): Christopher Edward Ordway
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
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