| 19-03430 | 11/05/2020 | Claimant(s): Fred Wagner, Roger Dael, WBI Management LLC
Claimant Lawyers(s): Brandon S. Reif
Respondent(s): Andrew Gaber
Respondent Lawyers(s): Thomas Werge
Arbitrator(s): Ralph H. Martin, Donald Dreyfus, Ernst Janensch
Hearing Site: Phoenix, AZ
| | |
| 10-03551 | 08/07/2012 | Claimant(s): Larry Smith, Larry Smith IRA, Donald G. Smith & Betty J. Smith, JTWROS
Claimant Lawyers(s): Donald G. & Betty J. Smith, Larry R. Smith, Larry Smith
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Amy C. Worrell
Arbitrator(s): Lester Friedman, Ralph H. Martin, Robert Charles Morrison
Hearing Site: Little Rock, AR
|  | $28,569 |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
| 09-02053 | 11/04/2010 | Claimant(s): Thermo Dynamics Inc.
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Katherine M. Harmeyer, Ralph H. Martin, Deana S. Peck
Hearing Site: Phoenix, AZ
| | $0 |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-00948 | 12/23/2008 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jeffrey D. Hedlund
Respondent(s): Mark Islas, Mayra Angulo
Respondent Lawyers(s): Bruce R. Heurlin
Arbitrator(s): Victor B. Taube, Gary L. Freeman, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | |
