| 11-00380 | 07/21/2011 | Claimant(s): Dale Gibbons
Claimant Lawyers(s): Dale Gibbons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
|  | $88 |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
| 09-05719 | 07/06/2011 | Claimant(s): Richard Delfs
Claimant Lawyers(s): Stephen M. Weiss
Respondent(s): Morgan Stanley & Co., Michael Tusan
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): James M. Rapisarda, Roger A. Geddes, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
| 10-05508 | 07/05/2011 | Claimant(s): Maria Gritsch
Claimant Lawyers(s): Jennifer J. Axel
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Marvin J. Klein, Jerry H. Friedland, Ernest F. Modzelewski
Hearing Site: Phoenix, AZ
| | $320,238 |
| 10-03913 | 06/17/2011 | Claimant(s): Mario Martinez, Trustee of the George H.
Claimant Lawyers(s): Gerald W. Alston
Respondent(s): Donald Marshall, Roselyn Marshall, First Financial Equity Corporation
Respondent Lawyers(s): Donald Richard Marshall, Edwin A. Barkel
Arbitrator(s): Herschell E. Parent, Joe S. Tarrer, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 10-05734 | 06/17/2011 | Claimant(s): Jon Ann Hockersmith
Claimant Lawyers(s): Jon Ann Hockersmith
Respondent(s): Morgan Stanley, Stephen Ledyard
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $17,673 |
| 09-07062 | 03/25/2011 | Claimant(s): Elise Moore, F. David Moore
Claimant Lawyers(s): Elise L. Moore
Respondent(s): Morgan Stanley, Marc Lock
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
| | $15,000 |
| 09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-06903 | 03/04/2011 | Claimant(s): Maureen Perfect
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Wachovia Securities, David Neunuebel, Dylan Minor
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mica T. Duncan, Marc Kalish, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $0 |
| 10-03462 | 02/25/2011 | Claimant(s): Deanne Eastin, Terrance Eastin
Claimant Lawyers(s): Terrance Eastin
Respondent(s): Carol Vehmeyer
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $213 |
