| 15-00734 | 04/18/2019 | Claimant(s): Gerald M. Butler, Jr. Family Trust, Jr. Marital Trust
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): National Securities Corporation, National Asset Management
Respondent Lawyers(s): Fred N. Knopf
Arbitrator(s): Marc Kalish, Kevin Edward Anthony, John P. Kelly
Hearing Site: Salt Lake City, UT
|  | $1,145,240 |
| 17-03261 | 10/23/2018 | Claimant(s): Greg Biddle, Karla Biddle
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Expungement |
| 17-02757 | 10/22/2018 | Claimant(s): James Poindexter
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Michael Leahy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-00417 | 10/22/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., Citigroup Global Markets.
Respondent Lawyers(s): David I. Hantman, Denise M. Hammond
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 18-00416 | 08/15/2018 | Claimant(s): Trent Montague
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 16-02013 | 08/08/2018 | Claimant(s): Bryan Hanson, Linda Hanson, Bryan K. Hanson Revocable Trust
Claimant Lawyers(s): Ryan S. Cook
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Leo G. Kogan
Arbitrator(s): Marc Kalish, David S. Eisenberg, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | $0 |
| 17-00051 | 06/25/2018 | Claimant(s): David Coletti, Gail Charles, CDG (Ohio) LLC
Claimant Lawyers(s): Ross D Carmel
Respondent(s): Bruce Greenwald, Morgan Stanley
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): George J. Karlsven, Daniel M. Yamshon, Marc Kalish
Hearing Site: Salt Lake City, UT
| | Expungement |
| 17-00274 | 06/13/2018 | Claimant(s): Carey Bertsch, Deborah Williamson, Jeffrey Bertsch, Karin Kellogg, Michael McEnany, Pamela Bertsch, Randall Bertsch, Robin Bertsch, Vicki Bertsch, Virginia Bertsch, Walter Kellogg, Carey Bertsch IRA, Karin kellogg IRA, Robin Bertsch IRA, Vicki Bertsch IRA, Walter E. Kellogg, III IRA, Lyle E. Bertsche Revocable Trust u/s dtd, McEnany Williamson Revocable Living Trus, Virgnia L. Bertsch Revocable Trrust u/a, III Trust u/a dtd 2/2
Claimant Lawyers(s): D. Daxton White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Ed Barkel
Arbitrator(s): I. Douglas Dunipace, Marc Kalish, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-01388 | 04/18/2018 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): David Boling, James Roy, Carolina Capital Markets.
Respondent Lawyers(s): Joseph L. Hood, Thomas G. Shugrue
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $2,013,780 |
| 17-00015 | 09/11/2017 | Claimant(s): Don Monteath
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Geoff Beckham
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
