| 09-01873 | 04/23/2010 | Claimant(s): Ronald Morenz
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Ronald Edward Hibbing
Hearing Site: Phoenix, AZ
|  | $0 |
| 09-00909 | 04/19/2010 | Claimant(s): Jere Planck, Mary Planck, Jere W. and Mary C. Planck Family Trust
Claimant Lawyers(s): Maura K. McKelvey
Respondent(s): UBS Financial Services Inc., Scott Miller
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Gary L. Freeman, Jerome K. Altshuler, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-05059 | 04/19/2010 | Claimant(s): Doris Benson
Claimant Lawyers(s): Doris Benson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Howard W. Shannon
Hearing Site: Phoenix, AZ
| | $2,389 |
| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
| | $91,129 |
| 09-03869 | 03/10/2010 | Claimant(s): Lorraine Barchinger
Claimant Lawyers(s): Lorraine T. Barchinger
Respondent(s): John Foltz, William Herf, B. C. Ziegler And Company
Respondent Lawyers(s): Nicole Goodwin
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
| | $0 |
| 08-04418 | 03/09/2010 | Claimant(s): Charles Osterman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $309,320 |
| 06-05227 | 03/01/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Diana McMonagle
Respondent(s): Tracy Seegott
Respondent Lawyers(s): Tracy B. Seegott
Arbitrator(s): Frederick B. Mueller
Hearing Site: Phoenix, AZ
| | |
| 09-05095 | 02/17/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Maria Melissa T. Astudillo
Respondent(s): George Mahfouz
Respondent Lawyers(s): George E. Mahfouz
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
| | $0 |
| 08-04166 | 02/12/2010 | Claimant(s): John Hepler, Viola Hepler, Hepler Joint Tenant Survivorship
Claimant Lawyers(s): Anthony B. Bingham
Respondent(s): Gary Capra, John Astori
Respondent Lawyers(s): John C. Legutki, John Astori
Arbitrator(s): I. Douglas Dunipace, Leon G. Mackey, Pamela M. Katzenberg
Hearing Site: Phoenix, AZ
| | $101,000 |
| 09-02358 | 02/11/2010 | Claimant(s): Donna Wheeler, Teri Smith, Ruth E. Park Family Trust
Claimant Lawyers(s): Eric J. McNeilus
Respondent(s): Wachovia Securities, Edward Gardner
Respondent Lawyers(s): Adele Ponce
Arbitrator(s): Joe S. Tarrer, Marc Kalish, Rebecca S. Falatka
Hearing Site: Phoenix, AZ
| | $0 |
