| 12-01045 | 06/19/2013 | Claimant(s): Dake Investments
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | Expungement |
| 12-00711 | 05/28/2013 | Claimant(s): Myron Murray, Rita Murray
Claimant Lawyers(s): Rosemary J. Shockman
Respondent(s): Gordon Yee
Respondent Lawyers(s): David A. Baugh
Arbitrator(s): I. Douglas Dunipace, Thomas A. Peterson, Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $100,400 |
| 12-02448 | 05/20/2013 | Claimant(s): Melvin Schiebel, Melvin J. Schiebel Trust
Claimant Lawyers(s): Melvin J. Schiebel
Respondent(s): Edmond Lynch, Mark Bachman, Michael Butterfield, Ronald Thalman, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-00733 | 05/17/2013 | Claimant(s): Kendis Family Trust (A & B Trusts)
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-02700 | 05/09/2013 | Claimant(s): Enrique Clausen, Lera Investments Limited
Claimant Lawyers(s): D. Rob Burris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip McLeod
Arbitrator(s): Brian W. Yee, Jeffrey Scott Dow, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $730,216 |
| 12-03217 | 03/28/2013 | Claimant(s): Harry Rubinoff, Judith Engelman
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Paul A. Cash
Hearing Site: Phoenix, AZ
| | $94,947 |
| 12-03055 | 03/12/2013 | Claimant(s): Karen Warstler
Claimant Lawyers(s): Karen Warstler
Respondent(s): Chase Investment Services Corp., Loretta Barmes
Respondent Lawyers(s): Erika Imre Schindler
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
| | $1,713 |
| 12-00213 | 02/20/2013 | Claimant(s): John Butler
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $0 |
| 11-03363 | 11/13/2012 | Claimant(s): David W. Hockersmith
Claimant Lawyers(s): David W. Hockersmith
Respondent(s): Morgan Stanley, Stephen Ledyard
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-02052 | 10/18/2012 | Claimant(s): Billie Miles
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Howard R. Gaines, Ronald Edward Hibbing, Paul A. Cash
Hearing Site: Phoenix, AZ
| | $0 |
