| 13-03504 | 04/17/2018 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): David Boling, James Roy
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Robert S. McConnell, Jay Lawrence Witkin, Donald Dreyfus
Hearing Site: Phoenix, AZ
|  | $15,000 |
| 13-03751 | 06/29/2015 | Claimant(s): Jeffrey Teets
Claimant Lawyers(s): Paul A. Conant
Respondent(s): Thaxton Peterson
Respondent Lawyers(s): Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Walter Steven Schwartz, David F. Sargent
Hearing Site: Phoenix, AZ
| | $0 |
| 13-01789 | 02/11/2015 | Claimant(s): John & Karen Opilowsky Trust U/A 2/24/00
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Robert S. McConnell, Jerry H. Friedland, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02834 | 10/22/2014 | Claimant(s): Christopher Sanguigni
Claimant Lawyers(s): Todd H. Lahr
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Cary L. Weissman, Robert S. McConnell, Robert S. Mautner
Hearing Site: Phoenix, AZ
| | $0 |
| 12-01906 | 03/12/2014 | Claimant(s): Deborah Selland, James Selland
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Jason Troth, Kyle Spahn, Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Robert S. McConnell, David F. Sargent, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-01045 | 06/19/2013 | Claimant(s): Dake Investments
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
| | $91,129 |
