| 10-00820 | 04/12/2012 | Claimant(s): Ricky Stark
Claimant Lawyers(s): Gerald Maltz
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Gerald Maltz, Philip A. Fortino
Arbitrator(s): Stephen J. Taddie, Eugene R. Nielson, James M. Arkoosh
Hearing Site: Phoenix, AZ
| | |
| 10-01086 | 03/12/2012 | Claimant(s): Debus Kazan & Westerhausen, DB Plan
Claimant Lawyers(s): Jon A. Titus
Respondent(s): Lana Hock, Leah Hoffman, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Edwin F. Barkel
Arbitrator(s): Joe S. Tarrer, Robert Miller Lawder, CLU, John H. Fearnow
Hearing Site: Phoenix, AZ
|  | Expungement |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-04713 | 02/10/2012 | Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-02633 | 01/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Joseph Di Vito
Respondent Lawyers(s): Paul A. Conant
Arbitrator(s): David G. Skeen
Hearing Site: Phoenix, AZ
| | |
| 10-04493 | 01/09/2012 | Claimant(s): James Donohue, James L. Donohue IRA, Revocable Living Trust 5/30/2000
Claimant Lawyers(s): Douglas A. Loefgren, James L. Donohue
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Donald Dreyfus, Denise Kathleen Gaines, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-00765 | 12/08/2011 | Claimant(s): The Poole Family Revocable Trust
Claimant Lawyers(s): Jennifer J. Axel
Respondent(s): Robert Carley, William Turner, Farnam Street Brokerage Company, StockCross Financial Services.
Respondent Lawyers(s): David A. Gehn, Richard N. Berkshire
Arbitrator(s): Katherine M. Harmeyer, Thomas P. Delnoce, Howard R. Gaines
Hearing Site: Phoenix, AZ
| | $0 |
| 10-04979 | 11/28/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): David Allen
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 10-05343 | 11/21/2011 | Claimant(s): M. Johnson
Claimant Lawyers(s): J. Noland Franz
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Katherine M. Harmeyer, Amy L. Wachs, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $148,990 |
| 09-02263 | 11/08/2011 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Gregory Tevis
Respondent(s): Debra Householder, Scott Householder, The Householder Group, LLP
Respondent Lawyers(s): David H. Carmichael
Arbitrator(s): Harry Hamilton Herts, Daniel J. Lind, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | |
