| 23-00161 | 09/15/2023 | Claimant(s): Paul Siegel
Claimant Lawyers(s): Chelsea Bauer
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Emily Z. Culbertson
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
| | |
| 22-00203 | 07/28/2023 | Claimant(s): United Planners' Financial Services Of A
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): Dan Droeg
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Floyd Gerry Hoffman, Raymond George Seifritz, Wilbur Thomas Eggleston
Hearing Site: Phoenix, AZ
| | |
| 22-00041 | 06/15/2023 | Claimant(s): James Devary
Claimant Lawyers(s): Orit Goldring
Respondent(s): National Securities Corporation, Forte Capital Group.
Respondent Lawyers(s): Seth N. Bursky, Steven E. Mellen
Arbitrator(s): Louis M. Parker, Marcia A. Herrmann, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | |
| 22-02673 | 06/14/2023 | Claimant(s): Jenna Farah-Fimbres
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Phoenix, AZ
| | |
| 23-00529 | 06/01/2023 | Claimant(s): Morgan Stanley, MSSB Financing LLC
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ronald Diaz
Respondent Lawyers(s): Ronald Diaz
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Phoenix, AZ
| | |
| 22-02233 | 05/31/2023 | Claimant(s): Phyllis Strickland
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Daryl Calton, Calton & Associates.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Barbara M. Zak, Jay H. Feldstein, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
|  | Dismissed with Rule 12206 |
| 20-02307 | 05/30/2023 | Claimant(s): Kathleen Entzminger, Michael Entzminger, Entzminger Family Trust, Entzminger Property H Trust, Entzminger Property W Trust, EFT Prado
Claimant Lawyers(s): Robert D Mitchell
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Suzette J. Barnes
Arbitrator(s): Timothy J. Kroll, Jay Lawrence Witkin, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-00654 | 05/05/2023 | Claimant(s): Estate of Kenneth J. Meade
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Eric Baron, Jacob Kracht Russo
Respondent Lawyers(s): Eric Scott Baron, Jacob Steven Kracht Russo
Arbitrator(s): Allen B. Lang, Althea P. Halchuck, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Dismissed with Rule 12702 |
| 22-00099 | 04/19/2023 | Claimant(s): Courtney Mathy, John Cooper, Mariette Cooper, Reginald Cooper, Armour Self Storage II, Courtney Mathy Trust
Claimant Lawyers(s): Casey Obren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Walter Steven Schwartz, William B. Morgan, J. William Brammer
Hearing Site: Phoenix, AZ
| | $0 |
| 21-01270 | 03/14/2023 | Claimant(s): Larry Weisman, Weisman Enterprises Limited Partnership
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Reiling, David Monahan, Francis Skinner, Luke Johnson, Matthew Rakerd, Coastal Equities., Coastal Investment Advisors., Legend Capital Group.
Respondent Lawyers(s): Amir Tadjedin, Mickey B. Wright
Arbitrator(s): Deana S. Peck, Floyd Gerry Hoffman, Jerome Allan Landau
Hearing Site: Phoenix, AZ
| | Expungement |
