| 13-02557 | 03/06/2015 | Claimant(s): Shari Hanson
Claimant Lawyers(s): Donald M. Brown
Respondent(s): Stephen Englese, Equity Services.
Respondent Lawyers(s): Derek C. Anderson, Stephen Anthony Englese
Arbitrator(s): John A. Baynes, Michael C. Wittenberg, CPF, CLU, ChFC, John Russell Barlow
Hearing Site: Charlotte, NC
|  | $0 |
| 10-01086 | 03/12/2012 | Claimant(s): Debus Kazan & Westerhausen, DB Plan
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Lana Hock, Leah Hoffman, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Edwin F. Barkel
Arbitrator(s): Joe S. Tarrer, Robert Miller Lawder, CLU, John H. Fearnow
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-00117 | 01/21/2009 | Claimant(s): Daniel J. Day Living Trust, Diane D. Arnold Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Wachovia Securities
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Robert J. Walter, Benjamin L. Abramowitz, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
| 07-03290 | 11/04/2008 | Claimant(s): Patricia Gorski
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Brian D. Elias
Arbitrator(s): Robert N. Duggan, Mitchel Weiss, Clarence B. Johnson, CLU, ChFC
Hearing Site: Orlando, FL
| | $0 |
