| 11-01742 | 10/20/2011 | Claimant(s): Beverly Vogt
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Birmingham, AL
|  | $213 |
| 10-01670 | 09/21/2011 | Claimant(s): Jay Knapp, Reva Knapp, The Knapp Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Armand Salese, Payne L. Templeton
Arbitrator(s): Katherine M. Harmeyer, James T. Sinyard, Nicholas Jason Enoch
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-00380 | 07/21/2011 | Claimant(s): Dale Gibbons
Claimant Lawyers(s): Dale Gibbons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | $88 |
| 09-06446 | 07/15/2011 | Claimant(s): Deborah Vollstedt, Steve Vollstedt, Steve or Deborah Vollstedt Trust
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Katherine M. Harmeyer, James J. Ashe, James W. Warren
Hearing Site: Albuquerque, NM
| | $323,420 |
| 10-01528 | 03/31/2011 | Claimant(s): Kay Red Horse, Charitable Rem Trust of Kay F. Red Horse, Kay F. Red Horse Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Katherine M. Harmeyer, Daniel M. Yamshon, Karen J. Zvonecek
Hearing Site: Nashville, TN
| | $225,175 |
| 09-05897 | 01/06/2011 | Claimant(s): Mary Calzat, Mary D. Calzat IRA, The Calzat Family Trust, DTD 11/25/98
Claimant Lawyers(s): David S. Harrison
Respondent(s): Gregory Bolton, Stephen Wild, Thomas Zielinski, QA3 Financial Corp.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Douglas Edwards, Katherine M. Harmeyer, Merrill Dean Taylor
Hearing Site: Las Vegas, NV
| | Expungement |
| 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 |
| 08-01524 | 07/31/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas G. Stack
Respondent(s): Jeffrey Boettcher
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Katherine M. Harmeyer, Douglas E. McArthur, Allan D. Breyer
Hearing Site: Phoenix, AZ
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