| 08-00979 | 12/03/2008 | Claimant(s): Mary Gabriel Schweitzer
Claimant Lawyers(s): Mary Gabriel Schweitzer
Respondent(s): George Redheffer, Citigroup Global Markets.
Respondent Lawyers(s): Douglas B. Appel, George Lyman Redheffer
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
|  | $213 |
| 07-01662 | 11/24/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory Simon
Respondent(s): Donna Shurot
Respondent Lawyers(s): Donna Shurot
Arbitrator(s): Thomas D. Tays, Thomas P. Delnoce, James W. Warren
Hearing Site: Phoenix, AZ
| | |
| 07-01180 | 11/21/2008 | Claimant(s): Alice Russo, Anthony Viola, Audrey Kolar, Barbara McCutcheon, Carolyn Wright, Chad Mastakoski, Dale Kolar, Daniel Kelly, Darlene Wachel, David Petit, David Swarner, Douglas Meaden, Eleanor Evans, Gerald Duncan, Helen Papp, Jack Wygle, Jared Petit, Jason Petit, John Williams, Joleen Petit, et al
Claimant Lawyers(s): Christopher Mader
Respondent(s): Michael Dawes, Emmett A. Larkin Company.
Respondent Lawyers(s): Howard Schiffman, Michael A. Dawes
Arbitrator(s): Irving Mindes, Virginia H. Wertz, Frederick K. Steiner
Hearing Site: Phoenix, AZ
| | Stipulated Award |
| 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 |
