| 09-01514 | 11/03/2010 | Claimant(s): RAM Investors LP Jefferies, RLM Family Trust Jefferies, Ron & Lucille Matricaria Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Charles R. Berry, Stephanie P. Lebhar, Sheila Grinell
Hearing Site: Phoenix, AZ
|  | $0 |
| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
| | |
| 08-01269 | 10/28/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Eric Lansverk
Respondent(s): John Simonson, Kirk Gill
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard E. Anderson, Henry L. Dahl, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
| 09-05255 | 10/18/2010 | Claimant(s): Raymond Cole
Claimant Lawyers(s): William J. Gladden
Respondent(s): Douglas Cochran, Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Leon G. Mackey, Patricia G. Parthe, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $270,600 |
| 09-05797 | 10/14/2010 | Claimant(s): Christopher Durham, Norris Durham, Durham Family Trust dated 10/30/96, Durham Family Trust of Scottsdale, AZ
Claimant Lawyers(s): Shana M. Rugani
Respondent(s): Glenn Foerster, Pamela Lawson, Robert Lawson, Lawson Financial Corporation
Respondent Lawyers(s): Michael Freedman
Arbitrator(s): Stephen J. Taddie, W. Michael Kelley, Steven M. Guttell
Hearing Site: Phoenix, AZ
| | $277,500 |
| 10-01313 | 08/26/2010 | Claimant(s): Jordan M. and Linda S. Brickman
Claimant Lawyers(s): Jordan M. Brickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sean R. Murphy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $5,625 |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-03507 | 06/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Mark Emberton
Respondent Lawyers(s): Mark Radley Emberton
Arbitrator(s): James W. Warren
Hearing Site: Phoenix, AZ
| | |
| 08-02674 | 06/09/2010 | Claimant(s): Larry Osborne
Claimant Lawyers(s): Armand Salese
Respondent(s): Chase Investment Services Corp., Steven Campbell
Respondent Lawyers(s): Susan M. Benton
Arbitrator(s): George N. Roy, Deborah C. Bernot, Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | |
| 10-00824 | 06/08/2010 | Claimant(s): Robert Furst, Investor Clout, an Arizona Partnership
Claimant Lawyers(s): Robert Furst
Respondent(s): Mortgages LTD. Securities, L.L.C.
Respondent Lawyers(s): Gerald K. Smith
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
