| 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
| | |
| 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 |
| 20-03591 | 05/26/2022 | Claimant(s): Carlos Tapia Sanchez
Claimant Lawyers(s): Burt Newsome
Respondent(s): Morgan Stanley, Francisco Valenzuela
Respondent Lawyers(s): Francisco Javier Valenzuela, Patricia V. Waterkotte
Arbitrator(s): Timothy J. Kroll, Ronald Stewart Ripley, Vineet Mehta Shaw
Hearing Site: Phoenix, AZ
| | $330,000 |
| 20-01639 | 10/06/2021 | Claimant(s): Judith Cohen, MaxTrustDtd1/16/97 an AZ RvcbleLvgTrust
Claimant Lawyers(s): Jonah Toleno
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Donald Corbett
Arbitrator(s): Timothy J. Kroll, Floyd Gerry Hoffman, Ronald Stewart Ripley
Hearing Site: Phoenix, AZ
| | $0 |
| 20-03178 | 04/21/2021 | Claimant(s): Todd Anderson
Claimant Lawyers(s): Ross J. Kartez
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Richard F. Lubarsky
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
| | |
| 20-02267 | 11/23/2020 | Claimant(s): Michael Marshall
Claimant Lawyers(s): James P. Galvin
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Samantha D. Parrish
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
| | |
| 18-03657 | 06/28/2019 | Claimant(s): Paul Axberg
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Invest Financial Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Timothy J. Kroll
Hearing Site: Phoenix, AZ
| | |
| 17-00154 | 05/22/2018 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew P. Fischer
Respondent(s): Eric Harding
Respondent Lawyers(s): Eric Wayne Harding
Arbitrator(s): Paul A. Cash, Timothy J. Kroll, Stephen Arthur Caine
Hearing Site: Phoenix, AZ
| | |
| 16-02247 | 02/16/2018 | Claimant(s): Robert and Cherie Kirk
Claimant Lawyers(s): Robert D. Kirk
Respondent(s): Brian Filizetti, Debra Underwood, Kyle Edsall, Lisa Lawrence, Invest Financial Corporation, Thomas Martell
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Timothy J. Kroll, Donald Dreyfus, Delores Manwar
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
