| 11-00160 | 08/16/2011 | Claimant(s): Dorothy Calrow
Claimant Lawyers(s): Dorothy D. Calrow
Respondent(s): 1st Global Capital Corp.
Respondent Lawyers(s): Michael A. Pagano
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
| | |
| 09-06707 | 07/26/2011 | Claimant(s): Michael Berovic, Berovic-Goshen Village LLC, Michael Berovic Revocable Living Trust
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Christian Sayre-Smith, KMS Financial Services.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard D. Fincher, John Barton Schannep, Roger A. Geddes
Hearing Site: Phoenix, AZ
|  | $242,056 |
| 09-06787 | 07/25/2011 | Claimant(s): Jean Bernal, Jeannette McClennan, John McClennan, Manuel Bernal
Claimant Lawyers(s): Salvador Ongaro
Respondent(s): Attila Toth, Capwest Securities., Latitude Financial Services, Workman Securities Corporation
Respondent Lawyers(s): Attila Gyula Toth, Debra A. Jenks, H Thomas Fehn
Arbitrator(s): James E. Stark, Louis M. Parker, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $568,870 |
| 11-00380 | 07/21/2011 | Claimant(s): Dale Gibbons
Claimant Lawyers(s): Dale Gibbons
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Meredith A. Faro
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
| | $88 |
| 10-02024 | 07/19/2011 | Claimant(s): Jakob Muller, Mary Byrnes, Muri Trust
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Andrew Siegel, Morgan Stanley
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): George W. Harding, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | $0 |
| 10-02836 | 07/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Misty Eslinger
Respondent Lawyers(s): Misty Rae Eslinger
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
| | |
| 09-05719 | 07/06/2011 | Claimant(s): Richard Delfs
Claimant Lawyers(s): Stephen M. Weiss
Respondent(s): Morgan Stanley & Co., Michael Tusan
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): James M. Rapisarda, Roger A. Geddes, Merton E. Marks
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
| 10-05508 | 07/05/2011 | Claimant(s): Maria Gritsch
Claimant Lawyers(s): Jennifer J. Axel
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Jesse B. Simpson
Arbitrator(s): Marvin J. Klein, Jerry H. Friedland, Ernest F. Modzelewski
Hearing Site: Phoenix, AZ
| | $320,238 |
| 10-03913 | 06/17/2011 | Claimant(s): Mario Martinez, Trustee of the George H.
Claimant Lawyers(s): Gerald W. Alston
Respondent(s): Donald Marshall, Roselyn Marshall, First Financial Equity Corporation
Respondent Lawyers(s): Donald Richard Marshall, Edwin A. Barkel
Arbitrator(s): Herschell E. Parent, Joe S. Tarrer, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Dismissed by Rule 12206 |
| 10-05734 | 06/17/2011 | Claimant(s): Jon Ann Hockersmith
Claimant Lawyers(s): Jon Ann Hockersmith
Respondent(s): Morgan Stanley, Stephen Ledyard
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $17,673 |
