| 13-03600 | 04/15/2015 | Claimant(s): Gloria Ruiz, Roberto Ruiz
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Maurice Chelliah, Evolve Securities.
Respondent Lawyers(s): Jason E. Brown, Maurice Joseph Chelliah
Arbitrator(s): Howard A. Emirhanian, Michael D. Harrison, David K. Slay
Hearing Site: Los Angeles, CA
|  | $60,000 |
| 10-01664 | 11/07/2011 | Claimant(s): Bruce Ballinger, Charles Davis, Doug Hammond, Joan Lerner, Judy Vincent, Lola Stanley, Michael Wei, Michelle Caforio, Robyn Hendershot, Sandra Davis, Sandra Foster, Sanford Lerner, Stephen Vail, Steven Ruby, Susan Ballinger, Susan Friede, Susan Hammond
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Jeremy Hart, Evolve Securities.
Respondent Lawyers(s): Jeremy M. Hart, Scot Lenior
Arbitrator(s): Arthur E. Otten, Lawrence Douglas Brookes, David L. Erickson
Hearing Site: Denver, CO
| | $2,168,380 |
| 09-07099 | 03/11/2011 | Claimant(s): Daniel Bishop
Claimant Lawyers(s): Fred S. Clark
Respondent(s): Vicki Moffatt, AFS Brokerage., Evolve Securities.
Respondent Lawyers(s): Kenneth Shade, Vicki Lee Moffatt
Arbitrator(s): O. Meredith Wilson, George R. Milne, William H. King
Hearing Site: Portland, OR
| | $0 |
| 09-05472 | 12/02/2010 | Claimant(s): Mary McIntire, Thomas Grant
Claimant Lawyers(s): Eliot D. Shavin
Respondent(s): John Sprague, AFS Brokerage., Evolve Securities., First Midamerica Investment Corporation, Sprague Captial Management Group
Respondent Lawyers(s): David A. Calhoun, Douglas Hemke, Kenneth Shade, CCO, Patrick Lanier, Phillips A. Danks
Arbitrator(s): Linda Broocks, William S. Hopkins, Michael S. Wilk
Hearing Site: Houston, TX
| | $261,300 |
