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FINRA Awards for Marc Kalish

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Displaying 10 out of 47 results
Case Number Award Date Case Summary Customer Case? Amount Granted
19-0375107/29/2021Claimant(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
20-0189806/10/2021Claimant(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
Checkmark IconDismissed by FINRA 12206
20-0022005/28/2021Claimant(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
Checkmark IconExpungement
20-0269705/19/2021Claimant(s): Jason Freiwald
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Waddell & Reed
Respondent Lawyers(s): Eric D. Martin
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
20-0169802/19/2021Claimant(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
Checkmark Icon$0
18-0294010/22/2020Claimant(s): James Dullanty
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jacqueline R. Meyers
Arbitrator(s): Marc Kalish, Rick L. Knuth, Donald Dreyfus
Hearing Site: Salt Lake City, UT
Checkmark IconDismissed by Rule 12206/12504
19-0142207/17/2020Claimant(s): Lincoln Capital Partnership, LLLP, Washington Capital Partnership, Southpac Trust
Claimant Lawyers(s): Berry R. Charles
Respondent(s): Cetera Advisors Llc
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Marc Kalish, Zeek Ojeh, Leslie O Campbell
Hearing Site: Phoenix, AZ
Checkmark IconDismissed
19-0149711/11/2019Claimant(s): Edward Engbarth
Claimant Lawyers(s): Edward Engbarth
Respondent(s): Joseph Amato, Alexander Capital, L.P.
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
Checkmark Icon$10,141
19-0037911/01/2019Claimant(s): Christopher Adikwu
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Eric Dowell
Arbitrator(s): Marc Kalish, Mary M. O'Neil, Holly A. Hart
Hearing Site: Phoenix, AZ
19-0021306/13/2019Claimant(s): David James
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Corporate Officer
Arbitrator(s): Marc Kalish
Hearing Site: Salt Lake City, UT

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