| 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
| | |
| 17-03471 | 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
| | |
| 17-01790 | 02/22/2018 | Claimant(s): Noah Levine
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Steven L. Satter
Arbitrator(s): Merton E. Marks
Hearing Site: Salt Lake City, UT
| | |
| 14-00618 | 03/09/2016 | Claimant(s): Joann Pooton, Thompson Pooton, Joann M. Pooton IRA, Thompson J. Pooton IRA, Thompson J. & Joann M. Pooton Rev Trust
Claimant Lawyers(s): M. Nelson Segel
Respondent(s): Michael Self, First Financial Equity Corporation
Respondent Lawyers(s): Brian J. Palmer
Arbitrator(s): Merton E. Marks, Dee Newell, Brian Pezzillo
Hearing Site: Las Vegas, NV
|  | $0 |
| 13-02221 | 01/20/2015 | Claimant(s): Edward Schwartz
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-00212 | 01/06/2015 | Claimant(s): Anthony Humpage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Howard W. Shannon, Merton E. Marks, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 11-02482 | 11/22/2013 | Claimant(s): Jitendra Makwana, Rosa Makwana, Makwana Family Trust
Claimant Lawyers(s): Rosemary Shockman
Respondent(s): UBS Financial Services Inc., Vince Hawley
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Allan Levey, Robert S. Mautner, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-01407 | 04/19/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jesse B. Simpson
Respondent(s): Timothy Moran, Private Client
Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran
Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 09-05719 | 07/06/2011 | Claimant(s): Richard Delfs
Claimant Lawyers(s): Stephen M. Weiss
Respondent(s): Morgan Stanley & Co., Michael Tusan
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): James M. Rapisarda, Roger A. Geddes, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
| 09-07065 | 02/24/2011 | Claimant(s): Maria Henrichs
Claimant Lawyers(s): Paul J. Roshka
Respondent(s): Attila Toth
Respondent Lawyers(s): Attila Gyula Toth
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $46,731 |
