| 16-02837 | 08/25/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Charles Davis
Respondent Lawyers(s): Charles Whitman Davis
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 16-00840 | 07/28/2017 | Claimant(s): William Lane
Claimant Lawyers(s): William James Lane
Respondent(s): George Romano, Mark Quinzi, Farmers Financial Solutions.
Respondent Lawyers(s): Christopher S. Maile, Richard C. Moore
Arbitrator(s): Jerry L. Riggins, Steven M. Guttell, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | |
| 16-02368 | 07/28/2017 | Claimant(s): Janet Russ, Janet E. Russ Trust
Claimant Lawyers(s): Bruce R Heurlin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Walter Steven Schwartz
Hearing Site: Phoenix, AZ
|  | Expungement |
| 13-03751 | 06/29/2015 | Claimant(s): Jeffrey Teets
Claimant Lawyers(s): Paul A. Conant
Respondent(s): Thaxton Peterson
Respondent Lawyers(s): Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Walter Steven Schwartz, David F. Sargent
Hearing Site: Phoenix, AZ
| | $0 |
| 13-00212 | 01/06/2015 | Claimant(s): Anthony Humpage
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Howard W. Shannon, Merton E. Marks, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 12-01045 | 06/19/2013 | Claimant(s): Dake Investments
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-00733 | 05/17/2013 | Claimant(s): Kendis Family Trust (A & B Trusts)
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
