| 14-00113 | 12/04/2014 | Claimant(s): George A. Francis Revocable Trust dtd 11
Claimant Lawyers(s): George A. Francis
Respondent(s): Dewey Darwin, Mark Lippman
Respondent Lawyers(s): Chad Weaver, Mark Lippman
Arbitrator(s): Patricia G. Parthe
Hearing Site: Phoenix, AZ
|  | Expungement |
| 12-02099 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Cletus Emeziem
Respondent Lawyers(s): Cletus Enyinia Emeziem
Arbitrator(s): Harvey C. Flodin, Deana S. Peck, John Edward Perry
Hearing Site: Phoenix, AZ
| | |
| 14-00770 | 10/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Gifford Crosby
Respondent Lawyers(s): Gifford Winston Crosby
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 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 |
| 13-00659 | 10/13/2014 | Claimant(s): Leonardo Llames
Claimant Lawyers(s): August M. Lorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-00313 | 08/20/2014 | Claimant(s): Rick Haggstrom
Claimant Lawyers(s): Rick J. Haggstrom
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Donald Dreyfus
Hearing Site: Phoenix, AZ
| | $213 |
| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
| | |
| 13-00075 | 08/12/2014 | Claimant(s): Johnny Burris
Claimant Lawyers(s): Nicholas Woodfield
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Robert S. McConnell, Katherine M. Harmeyer, Brian L Evans
Hearing Site: Phoenix, AZ
| | |
| 13-01939 | 08/04/2014 | Claimant(s): Jessica Brown
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
| | |
| 13-02334 | 07/14/2014 | Claimant(s): Jeffrey Smith, Joel Sheldon, Kozen Tsukamoto, Wayne Miiller
Claimant Lawyers(s): Wayne Ivan Miller
Respondent(s): J. Schultz, Longview Financial Group.
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Katherine M. Harmeyer, Richard B. Bequette, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
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