| 07-03342 | 11/19/2008 | Claimant(s): Damon Jones, Eric Eremia
Claimant Lawyers(s): Damon Lawrence Jones, Eric Anthony Eremia
Respondent(s): David Morgan, Charles Schwab & Co..
Respondent Lawyers(s): Christopher M. Mason
Arbitrator(s): S. Jeffrey Minker, Jeffrey Charles Evanello, Frank R. Mead
Hearing Site: Phoenix, AZ
| | |
| 08-01005 | 11/06/2008 | Claimant(s): Peter Helms, Stephen Harrison, Exeter Financial LLC
Claimant Lawyers(s): James K. Barbee
Respondent(s): The Shemano Group.
Respondent Lawyers(s): Douglas Hale
Arbitrator(s): Shirley A. Lilien
Hearing Site: Phoenix, AZ
|  | $27,138 |
| 07-03566 | 08/07/2008 | Claimant(s): Paul Burns
Claimant Lawyers(s): Paul Raymond Burns
Respondent(s): Lincoln Financial Advisors
Respondent Lawyers(s): Jonathan J. Myers
Arbitrator(s): Samuel L. McClaren
Hearing Site: Phoenix, AZ
| | |
| 06-05408 | 07/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andy James
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard B. Bequette, George N. Roy, Allan D. Breyer
Hearing Site: Phoenix, AZ
| | |
| 06-01809 | 06/12/2008 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Donald B. Wallace
Respondent(s): Todd Smith
Respondent Lawyers(s): Frank Lewis
Arbitrator(s): Mica T. Duncan, Eugene W. Bronski, Ronald L. Peters
Hearing Site: Phoenix, AZ
| | |
| 07-03127 | 06/09/2008 | Claimant(s): Ruth Smith, William Smith, Ruth M. Smith IRA, William L. Smith IRA
Claimant Lawyers(s): Ruth M. Smith
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Barry R. Temkin
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
| | $0 |
| 07-02456 | 05/19/2008 | Claimant(s): Barry Blank, Brothers Oil & Gas.
Claimant Lawyers(s): Hartley Bernstein
Respondent(s): James Rizzo, Sterne, Agee & Leach.
Respondent Lawyers(s): Peter J. Tepley
Arbitrator(s): Allan D. Breyer, W. Michael Kelley, Thom E. Page
Hearing Site: Phoenix, AZ
| | $0 |
| 07-02677 | 05/13/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Daniel Voss
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Bruce A. Lindvig
Hearing Site: Phoenix, AZ
| | |
| 07-03049 | 05/06/2008 | Claimant(s): Estate of Gordon H. Armbruster
Claimant Lawyers(s): Robert Kamman
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Samuel L. McClaren
Hearing Site: Phoenix, AZ
| | $3,487 |
| 07-01762 | 04/28/2008 | Claimant(s): Bantz Revocable Living Trust
Claimant Lawyers(s): William F. Davis
Respondent(s): David Rhee
Respondent Lawyers(s): David J. Rhee
Arbitrator(s): S. Jeffrey Minker
Hearing Site: Phoenix, AZ
| | $98,000 |
