| 10-02304 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
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| 10-05187 | 04/27/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Richard Goldman
Respondent Lawyers(s): Richard Goldman
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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| 09-06979 | 03/04/2011 | Claimant(s): SagePoint Financial Inc.
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard L. Ricketts, William E. Hartsfield, Maria Salapska
Hearing Site: Phoenix, AZ
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| 10-03774 | 02/01/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Michael Guidroz
Respondent Lawyers(s): Michael Paul Guidroz
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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| 10-01666 | 01/26/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Scott Moore
Respondent Lawyers(s): Scott Randall Moore
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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| 09-05848 | 12/13/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Luken Carp
Respondent(s): Jeffrey Stanley
Respondent Lawyers(s): Jeffrey Michael Stanley
Arbitrator(s): James D. Knotter
Hearing Site: Phoenix, AZ
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| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
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| 08-01269 | 10/28/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eric Lansverk
Respondent(s): John Simonson, Kirk Gill
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard E. Anderson, Henry L. Dahl, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
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| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-03507 | 06/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Mark Emberton
Respondent Lawyers(s): Mark Radley Emberton
Arbitrator(s): James W. Warren
Hearing Site: Phoenix, AZ
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