| 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 |
| 10-00980 | 04/25/2014 | Claimant(s): David Birrell, Gregory Schulte
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Robert S. Mautner, Henry L. Dahl, Deborah C. Bernot
Hearing Site: Phoenix, AZ
| | |
| 11-02482 | 11/22/2013 | Claimant(s): Jitendra Makwana, Rosa Makwana, Makwana Family Trust
Claimant Lawyers(s): Rosemary Shockman
Respondent(s): UBS Financial Services Inc., Vince Hawley
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Allan Levey, Robert S. Mautner, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-00987 | 10/16/2013 | Claimant(s): Raymond Tate
Claimant Lawyers(s): Kim Michael
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrea G. Lisenbee
Arbitrator(s): Robert S. Mautner, Richard Marc Weinroth, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ
| | |
| 10-04330 | 05/01/2012 | Claimant(s): Julie Johnson, Stephen Johnson
Claimant Lawyers(s): J. Brent Welker, Jack Klausner
Respondent(s): David Theis
Respondent Lawyers(s): Charles R. Berry
Arbitrator(s): Harry Hamilton Herts, Robert S. Mautner, Steven Martin Helm
Hearing Site: Phoenix, AZ
| | $35,000 |
| 11-00717 | 04/20/2012 | Claimant(s): Joseph Sleiman
Claimant Lawyers(s): Eric M Rolinson
Respondent(s): John Mclaughlin, Morgan Keegan & Company.
Respondent Lawyers(s): Lee H. Zell
Arbitrator(s): Cary L. Weissman, Robert S. Mautner, Larry J. Craddock
Hearing Site: Orlando, FL
| | $0 |
| 10-04646 | 09/12/2011 | Claimant(s): Ruth Kosco
Claimant Lawyers(s): Jon A. Titus
Respondent(s): John Hebert, Morgan Stanley
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Jerry H. Friedland, Robert S. Mautner, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | $23,188 |
