| 12-00438 | 06/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Hathaway
Respondent Lawyers(s): Robert W. Hathaway
Arbitrator(s): Joe S. Tarrer
Hearing Site: Phoenix, AZ
| | |
| 11-04462 | 06/25/2012 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Rolf Heartburg
Respondent Lawyers(s): Rolf Arik Heartburg
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | |
| 10-02280 | 06/05/2012 | Claimant(s): The Kevin S. Phillips Define Benefit
Claimant Lawyers(s): Martin R. Galbut
Respondent(s): Angela Phillips, Kevin Phillips, Woodbury Financial Services.
Respondent Lawyers(s): Jeffrey D. Hedlund, Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Thomas P. Delnoce, Marc Kalish
Hearing Site: Phoenix, AZ
|  | $171,469 |
| 09-03359 | 06/05/2012 | Claimant(s): Shirley Manos, Tom Manos, The Manos Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Merkel, Karen D. Hanson, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02590 | 05/24/2012 | Claimant(s): Helen Wald, Laureen Arena
Claimant Lawyers(s): Armand Salese
Respondent(s): Wells Fargo Advisors, Stephen Schneider
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Joe S. Tarrer, Brian L Evans, Rickey Ray Pate
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04557 | 05/07/2012 | Claimant(s): Lon R. Melton
Claimant Lawyers(s): Lon R. Melton
Respondent(s): Princor Financial Services Corp, Principal Financial Group
Respondent Lawyers(s): Corporate Officer, Traci Weldon
Arbitrator(s):
Hearing Site: Phoenix, AZ
| | |
| 11-02984 | 05/01/2012 | Claimant(s): Joshua Bliss, E*Trade Securities LLC
Claimant Lawyers(s): John E. Bersin
Respondent(s): Sheila R. Mitchell Trust, Sherry Raymond Supplemental Needs Trust, Thomas J. Kolb Trust
Respondent Lawyers(s): Thomas J. Kolb
Arbitrator(s): Ronald Edward Hibbing, Suzanne M. Dallimore, P.C., Robert Harrison Schlosser
Hearing Site: Phoenix, AZ
| | Expungement |
| 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 |
| 10-03273 | 04/18/2012 | Claimant(s): Jeffrey Prior
Claimant Lawyers(s): Jaime Gill Santos
Respondent(s): Bbva Compass Investment Solutions
Respondent Lawyers(s): A. Kelly Brennan Bolvig
Arbitrator(s): Henry L. Dahl, Deborah Miriam Lavinsky
Hearing Site: Phoenix, AZ
| | |
| 12-00389 | 04/18/2012 | Claimant(s): Sandra Robinson
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Richard Schmerman
Respondent Lawyers(s): Richard Mark Schmerman
Arbitrator(s): Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | $538,390 |
