| 21-00811 | 12/14/2023 | Claimant(s): Arthur Sitelman, Edna Sitelman, Arthur Sitelman IRA, Faraway Assets, The Good Daughter
Claimant Lawyers(s): Thomas Frost
Respondent(s): Armando Roman, Independent Financial Group.
Respondent Lawyers(s): Edward Zusman
Arbitrator(s): Lanny M. Leff, Robert Rosen, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
|  | $1,000,000 |
| 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 |
| 21-00482 | 11/23/2022 | Claimant(s): Armand Ortega
Claimant Lawyers(s): Alan Baskin
Respondent(s): J.P. Morgan Securities, Ryan Schlappi, JP Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Thomas A. Peterson, Jay H. Feldstein, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | Expungement |
| 19-03605 | 04/21/2022 | Claimant(s): Joseph Cardenas, Machelle Cardenas, Yuma Cardiology Associates
Claimant Lawyers(s): Bradd L Milove
Respondent(s): Ryan Barradas, Kestra Investment Services, M Holdings Securities., WealthPoint, Barradas Family Trust, Kestra Advisory Services, Kestra Financial.
Respondent Lawyers(s): Edwin A. Barkel, Nancy L. Hendrickson
Arbitrator(s): Howard R. Gaines, Maureen Beyers, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $0 |
| 21-02300 | 04/06/2022 | Claimant(s): Ryan Loynd
Claimant Lawyers(s): Alan Baskin
Respondent(s): Coastal Equities.
Respondent Lawyers(s): Francis J. Skinner
Arbitrator(s): Daniel Baruch Lidawer, Jay Lawrence Witkin, Renee Bryna Gerstman
Hearing Site: Phoenix, AZ
| | |
| 21-00268 | 01/12/2022 | Claimant(s): Robert Heller
Claimant Lawyers(s): Kevin Lampone
Respondent(s): William Pfeifer
Respondent Lawyers(s): Stephen J. Anthony
Arbitrator(s): Jay Lawrence Witkin, Steven M. Guttell, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | |
| 19-01766 | 12/21/2021 | Claimant(s): Gail Higashi, Kevin Higashi
Claimant Lawyers(s): Lisa Anne Smith
Respondent(s): Wells Fargo Clearing Services, Ruth Transue
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Jay Lawrence Witkin, David S. Eisenberg, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
| | $300 |
| 20-01698 | 02/19/2021 | Claimant(s): Estate of George F. Kalil
Claimant Lawyers(s): Tom Slutes
Respondent(s): Wells Fargo Advisors Financial Network
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Marc Kalish, Jay Lawrence Witkin, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ
| | $0 |
| 19-03396 | 06/10/2020 | Claimant(s): Todd Foster
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): SunAmerica Securities.
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 19-02762 | 05/08/2020 | Claimant(s): Michael Osland
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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