| 09-04708 | 02/04/2010 | Claimant(s): Robert Dunn
Claimant Lawyers(s): Robert E. Dunn
Respondent(s): LPL Financial LLC, Stephen Lomsdalen
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
|  | $163 |
| 09-03374 | 01/28/2010 | Claimant(s): Ira L Goodman Rev. Trust
Claimant Lawyers(s): Ira Goodman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai Klaassen
Arbitrator(s): Willy Nordwind
Hearing Site: Phoenix, AZ
| | $0 |
| 09-01155 | 11/19/2009 | Claimant(s): William E. Busse and Kelly A. Busse - JT
Claimant Lawyers(s): William E. Busse
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Eugene R. Nielson
Hearing Site: Phoenix, AZ
| | $0 |
| 09-00764 | 11/12/2009 | Claimant(s): Kenneth Langone
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Howard W. Shannon, Linda M. Parker, Allan D. Breyer
Hearing Site: Phoenix, AZ
| | $16,800 |
| 08-03573 | 11/04/2009 | Claimant(s): Mary C. Wagner
Claimant Lawyers(s): Mary C. Wagner
Respondent(s): Michael Stebbins
Respondent Lawyers(s): Robert N. Mann
Arbitrator(s): David C. Rupley, Pamela M. Katzenberg, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $4,200 |
| 08-03538 | 10/30/2009 | Claimant(s): Roseleen Anderson
Claimant Lawyers(s): Roseleen R. Anderson
Respondent(s): Charles Schwab & Co.., Michael Continelli
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | $110 |
| 09-01272 | 10/15/2009 | Claimant(s): David Starkson
Claimant Lawyers(s): David Starkson
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Ann Hudson
Arbitrator(s): Willy Nordwind
Hearing Site: Phoenix, AZ
| | $5,499 |
| 08-02352 | 08/18/2009 | Claimant(s): Val and Lorreen Pearson JTWROS
Claimant Lawyers(s): B. Lance Entrekin
Respondent(s): Nicholas Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael K. Freedman
Arbitrator(s): J. Noland Franz, Howard R. Gaines, Paul C. Bookidis
Hearing Site: Phoenix, AZ
| | $0 |
| 08-00659 | 06/08/2009 | Claimant(s): Joan Francis
Claimant Lawyers(s): Michael W. Sillyman
Respondent(s): Lisa Reed, Neuberger Berm
Respondent Lawyers(s): Neal S. Robb
Arbitrator(s): Jerry H. Friedland, Richard E. Anderson, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $0 |
| 99-04694 | 06/04/2009 | Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
| | Expungement |
