| 13-01388 | 04/18/2018 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): David Boling, James Roy, Carolina Capital Markets.
Respondent Lawyers(s): Joseph L. Hood, Thomas G. Shugrue
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
|  | $2,013,780 |
| 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 |
| 13-02621 | 08/16/2016 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Joe Kronawitter
Respondent(s): Daniel Allen, David Boling, James Roy, Morgan Keegan & Company., Richard Murray, William Thompson
Respondent Lawyers(s): Ben Suter, Joseph L. Hood
Arbitrator(s): William M. Howard, Delores Manwar, Roger A. Geddes
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-01822 | 01/20/2016 | Claimant(s): Alan Azar
Claimant Lawyers(s): Royal B. Lea
Respondent(s): EDI Financial.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Thomas A. Cipolla, Richard F. Dole, Sherry R. Wetsch
Hearing Site: Houston, TX
| | $273,606 |
| 09-03601 | 06/14/2010 | Claimant(s): Jack Lang, Tina Lang, The Jack A. & Tina L. Lang Family Trust
Claimant Lawyers(s): Holly C. Hamm, Ross Spence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Lacey, Merrill Lynch Life Agency Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Mica T. Duncan, Joe S. Tarrer, Richard L. Merkel
Hearing Site: Albuquerque, NM
| | $100,000 |
| 08-03841 | 10/09/2009 | Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
| | $296,890 |
| 07-00223 | 08/13/2007 | Claimant(s): Richard Caris
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland
Hearing Site: Phoenix, AZ
| | $690,430 |
