| 08-00455 | 06/01/2009 | Claimant(s): David L. Woods and Twila R. Woods, Ttees
Claimant Lawyers(s): K. Layne Morrill
Respondent(s): Raymond Johnson, WFG Investments.
Respondent Lawyers(s): Bradley J. Stevens, Paul J. Roshka
Arbitrator(s): Philip B. Whitaker, Richard L. Merkel, Jeffrey Charles Young
Hearing Site: Phoenix, AZ
|  | $2,950,000 |
| 06-04460 | 05/05/2009 | Claimant(s): The Burdette P. Mast Trust, The Geraldine K. Mast Trust
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Eric Solis
Respondent Lawyers(s): Eric A. Solis
Arbitrator(s): Pamela M. Katzenberg, Jerome K. Altshuler, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | $75,000 |
| 08-00186 | 04/02/2009 | Claimant(s): Ronald Locke, Saundra Locke
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Alex Borukhov, Scott Shapiro
Respondent Lawyers(s): Alex Borukhov, Scott A. Shapiro
Arbitrator(s): Cary L. Weissman, S. Jeffrey Minker, Albert Sterman
Hearing Site: Phoenix, AZ
| | $152,000 |
| 08-02910 | 02/11/2009 | Claimant(s): Michelle Napoli
Claimant Lawyers(s): Michelle L. Napoli
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula M. McManus
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | $4,993 |
| 08-01247 | 12/03/2008 | Claimant(s): Kimberly Ohl, William Ohl, II
Claimant Lawyers(s): William C. Ohl
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Ray Kinnard
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $6,809 |
| 08-00979 | 12/03/2008 | Claimant(s): Mary Gabriel Schweitzer
Claimant Lawyers(s): Mary Gabriel Schweitzer
Respondent(s): George Redheffer, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel, George Lyman Redheffer
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
| | $213 |
| 07-01180 | 11/21/2008 | Claimant(s): Alice Russo, Anthony Viola, Audrey Kolar, Barbara McCutcheon, Carolyn Wright, Chad Mastakoski, Dale Kolar, Daniel Kelly, Darlene Wachel, David Petit, David Swarner, Douglas Meaden, Eleanor Evans, Gerald Duncan, Helen Papp, Jack Wygle, Jared Petit, Jason Petit, John Williams, Joleen Petit, et al
Claimant Lawyers(s): Christopher Mader
Respondent(s): Michael Dawes, Emmett A. Larkin Company.
Respondent Lawyers(s): Howard Schiffman, Michael A. Dawes
Arbitrator(s): Irving Mindes, Virginia H. Wertz, Frederick K. Steiner
Hearing Site: Phoenix, AZ
| | Stipulated Award |
| 08-01005 | 11/06/2008 | Claimant(s): Peter Helms, Stephen Harrison, Exeter Financial LLC
Claimant Lawyers(s): James K. Barbee
Respondent(s): The Shemano Group.
Respondent Lawyers(s): Douglas Hale
Arbitrator(s): Shirley A. Lilien
Hearing Site: Phoenix, AZ
| | $27,138 |
| 07-03127 | 06/09/2008 | Claimant(s): Ruth Smith, William Smith, Ruth M. Smith IRA, William L. Smith IRA
Claimant Lawyers(s): Ruth M. Smith
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | $0 |
| 07-02456 | 05/19/2008 | Claimant(s): Barry Blank, Brothers Oil & Gas.
Claimant Lawyers(s): Hartley Bernstein
Respondent(s): James Rizzo, Sterne, Agee & Leach.
Respondent Lawyers(s): Peter J. Tepley
Arbitrator(s): Allan D. Breyer, W. Michael Kelley, Thom E. Page
Hearing Site: Phoenix, AZ
| | $0 |
