| 20-03552 | 09/24/2021 | Claimant(s): Ian Rodgers
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | |
| 21-00156 | 09/16/2021 | Claimant(s): Payden Bullis, Rene Rojas
Claimant Lawyers(s): David Monsour
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Rachael Conley
Arbitrator(s): Sandra L. Malek
Hearing Site: Phoenix, AZ
| | |
| 19-03751 | 07/29/2021 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Harold Harrison
Respondent Lawyers(s): Harold Walter Harrison
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 20-03440 | 07/06/2021 | Claimant(s): Andrew Ruboyianes
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Morris S. Getzels, Stephanie P. Lebhar, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 21-00025 | 06/24/2021 | Claimant(s): Anthony Calderon
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert E. Jenks
Hearing Site: Phoenix, AZ
| | |
| 20-02849 | 06/23/2021 | Claimant(s): Jacob Gold
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Christina Vourakis
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
| | |
| 20-01898 | 06/10/2021 | Claimant(s): Beth Bernstein, Beth A. Bernstein IRA, Bernstein-Jewell Family Living Trust
Claimant Lawyers(s): Robert H. Rex
Respondent(s): Berthel Fisher & Co. Financial Svcs. Inc
Respondent Lawyers(s): Peter J. McElligott
Arbitrator(s): Marc Kalish, William B. Morgan, Garnett Sailor
Hearing Site: Phoenix, AZ
|  | Dismissed by FINRA 12206 |
| 20-02669 | 06/03/2021 | Claimant(s): William Herf
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Paul Klein
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 20-03500 | 06/02/2021 | Claimant(s): Galit Dermer Trust, Galit Dermer Trustee
Claimant Lawyers(s): Michael S. Hill
Respondent(s): Laurence Goldstein, First Financial Equity Corporation
Respondent Lawyers(s): Jason L. Cassidy
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | Expungement |
| 20-00220 | 05/28/2021 | Claimant(s): Stephen M. Salka Declaration of Trust
Claimant Lawyers(s): Alan Baskin
Respondent(s): Frank Calise
Respondent Lawyers(s): Chad R. Kaffer
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
