| 14-01650 | 08/31/2016 | Claimant(s): Donna Horwitz as Trustee of Alex and Hel, Donna Horwitz as Trustee of Helen M. Sol
Claimant Lawyers(s): David E. Wood
Respondent(s): Burt Derman, Wells Fargo Advisors
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Howard R. Gaines, Allan Levey, Bryan Thomas Di Lella
Hearing Site: Phoenix, AZ
|  | Expungement |
| 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 |
| 12-01300 | 07/25/2013 | Claimant(s): Doris S. Henley Family Trust
Claimant Lawyers(s): Randall Udelman
Respondent(s): Citigroup Global Markets., James Casey
Respondent Lawyers(s): Ellen Sessions, Raul Sanchez
Arbitrator(s): Howard W. Shannon, Paul J. Robinson, Allan Levey
Hearing Site: Phoenix, AZ
| | Expungement |
| 06-02459 | 10/30/2007 | Claimant(s): Susan Beesmyer, Beesmyer Family Trust Agreement 10/96
Claimant Lawyers(s): J. Emery Barker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Charles W. Herf, Allan Levey, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $25,000 |
