| 12-00348 | 03/09/2016 | Claimant(s): Lila Jean Shay, Gerald and Katherine Darnell, Jack and Doris Huber, Robert and Robin Trick, Steven and Deborah Sheldon, William and Debbie Nelson, William and Sandra Burnside
Claimant Lawyers(s): Robert J. Pearl
Respondent(s): Mary Helen Mallett
Respondent Lawyers(s): Mary Helen Caprice Mallett
Arbitrator(s): W. Michael Kelley, John Edward Perry, Theodore J. DiSante
Hearing Site: Phoenix, AZ
|  | $305,000 |
| 14-01105 | 06/18/2015 | Claimant(s): Darshananda Revocable Living Trust
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Casey Lockard, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-01701 | 05/21/2015 | Claimant(s): John Anderson
Claimant Lawyers(s): Bryan T. Forman
Respondent(s): Wells Fargo Advisors, Jason Turetzky, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $300 |
| 13-00950 | 03/06/2014 | Claimant(s): Janice Johnston, Robert Johnston, Robert F. and Janice M. Johnston Rev. Tr
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Daryl Calton, Dwayne Calton, Ginny Calton, Virginia Calton, Calton & Associates.
Respondent Lawyers(s): Alan M. Wolper, Heidi E. Vonderheide
Arbitrator(s): Howard W. Shannon, Mica T. Duncan, W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 11-03286 | 03/21/2012 | Claimant(s): Dennis Brooks
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): W. Michael Kelley
Hearing Site: Birmingham, AL
| | $23,661 |
| 11-01291 | 11/02/2011 | Claimant(s): Joseph Trudel
Claimant Lawyers(s): Joseph Trudel
Respondent(s): Sharebuilder Securities Corporation
Respondent Lawyers(s): Curtis Martin
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $71,532 |
| 09-05797 | 10/14/2010 | Claimant(s): Christopher Durham, Norris Durham, Durham Family Trust dated 10/30/96, Durham Family Trust of Scottsdale, AZ
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Glenn Foerster, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael Freedman
Arbitrator(s): Stephen J. Taddie, W. Michael Kelley, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | $277,500 |
| 09-05095 | 02/17/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Maria Melissa T. Astudillo
Respondent(s): George Mahfouz
Respondent Lawyers(s): George E. Mahfouz
Arbitrator(s): W. Michael Kelley
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 |
