| 11-00061 | 06/16/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): Mandel E. Himelstein
Hearing Site: Phoenix, AZ
| | |
| 09-05959 | 06/06/2011 | Claimant(s): Iliana Perales
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Paul R. Garry
Arbitrator(s): Howard R. Gaines, Denis Frank, Paul T. Sachs
Hearing Site: Phoenix, AZ
| | |
| 11-00329 | 06/06/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Steve Kelly
Respondent Lawyers(s): Steve G. Kelly
Arbitrator(s): Martin Mandel
Hearing Site: Phoenix, AZ
| | |
| 10-02304 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
| | |
| 10-05187 | 04/27/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Richard Goldman
Respondent Lawyers(s): Richard Goldman
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
| | |
| 09-07062 | 03/25/2011 | Claimant(s): Elise Moore, F. David Moore
Claimant Lawyers(s): Elise L. Moore
Respondent(s): Morgan Stanley, Marc Lock
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
|  | $15,000 |
| 09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-06979 | 03/04/2011 | Claimant(s): SagePoint Financial Inc.
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard L. Ricketts, William E. Hartsfield, Maria Salapska
Hearing Site: Phoenix, AZ
| | |
| 09-06903 | 03/04/2011 | Claimant(s): Maureen Perfect
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Wachovia Securities, David Neunuebel, Dylan Minor
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mica T. Duncan, Marc Kalish, Aryka Steele Radke
Hearing Site: Phoenix, AZ
| | $0 |
| 10-03462 | 02/25/2011 | Claimant(s): Deanne Eastin, Terrance Eastin
Claimant Lawyers(s): Terrance Eastin
Respondent(s): Carol Vehmeyer
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $213 |
