| 11-01908 | 08/02/2012 | Claimant(s): Guadalupe Bernal
Claimant Lawyers(s): William J. Risner
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Casey L. Moore
Arbitrator(s): Robert S. Mautner
Hearing Site: Phoenix, AZ
|  | $0 |
| 10-02280 | 06/05/2012 | Claimant(s): The Kevin S. Phillips Define Benefit
Claimant Lawyers(s): Martin R. Galbut
Respondent(s): Angela Phillips, Kevin Phillips, Woodbury Financial Services.
Respondent Lawyers(s): Jeffrey D. Hedlund, Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Thomas P. Delnoce, Marc Kalish
Hearing Site: Phoenix, AZ
| | $171,469 |
| 09-03359 | 06/05/2012 | Claimant(s): Shirley Manos, Tom Manos, The Manos Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Merkel, Karen D. Hanson, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02590 | 05/24/2012 | Claimant(s): Helen Wald, Laureen Arena
Claimant Lawyers(s): Armand Salese
Respondent(s): Wells Fargo Advisors, Stephen Schneider
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Joe S. Tarrer, Brian L Evans, Rickey Ray Pate
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04330 | 05/01/2012 | Claimant(s): Julie Johnson, Stephen Johnson
Claimant Lawyers(s): J. Brent Welker, Jack Klausner
Respondent(s): David Theis
Respondent Lawyers(s): Charles R. Berry
Arbitrator(s): Harry Hamilton Herts, Robert S. Mautner, Steven Martin Helm
Hearing Site: Phoenix, AZ
| | $35,000 |
| 12-00389 | 04/18/2012 | Claimant(s): Sandra Robinson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Richard Schmerman
Respondent Lawyers(s): Richard Mark Schmerman
Arbitrator(s): Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | $538,390 |
| 10-01086 | 03/12/2012 | Claimant(s): Debus Kazan & Westerhausen, DB Plan
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Lana Hock, Leah Hoffman, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Edwin F. Barkel
Arbitrator(s): Joe S. Tarrer, Robert Miller Lawder, CLU, John H. Fearnow
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04713 | 02/10/2012 | Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04493 | 01/09/2012 | Claimant(s): James Donohue, James L. Donohue IRA, Revocable Living Trust 5/30/2000
Claimant Lawyers(s): Douglas A. Loefgren, James L. Donohue
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Donald Dreyfus, Denise Kathleen Gaines, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | Expungement |
