| 13-03504 | 04/17/2018 | Claimant(s): Hopi Tribe
Claimant Lawyers(s): Norberto J. Cisneros
Respondent(s): David Boling, James Roy
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Robert S. McConnell, Jay Lawrence Witkin, Donald Dreyfus
Hearing Site: Phoenix, AZ
|  | $15,000 |
| 14-01542 | 02/19/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher P. Litterio
Respondent(s): John Fairfield
Respondent Lawyers(s): Albert G. Ayre
Arbitrator(s): Robert S. McConnell, Loren Scott Buell, John H. Fearnow
Hearing Site: Phoenix, AZ
| | |
| 13-02743 | 07/30/2015 | Claimant(s): David Jancuk
Claimant Lawyers(s): William R. Urga
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Douglas Edwards, Robert S. McConnell, Marcia A. Herrmann
Hearing Site: Las Vegas, NV
| | |
| 13-03751 | 06/29/2015 | Claimant(s): Jeffrey Teets
Claimant Lawyers(s): Paul A. Conant
Respondent(s): Thaxton Peterson
Respondent Lawyers(s): Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Walter Steven Schwartz, David F. Sargent
Hearing Site: Phoenix, AZ
| | $0 |
| 13-01789 | 02/11/2015 | Claimant(s): John & Karen Opilowsky Trust U/A 2/24/00
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Robert S. McConnell, Jerry H. Friedland, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
| | Expungement |
| 13-02834 | 10/22/2014 | Claimant(s): Christopher Sanguigni
Claimant Lawyers(s): Todd H. Lahr
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Cary L. Weissman, Robert S. McConnell, Robert S. Mautner
Hearing Site: Phoenix, AZ
| | $0 |
| 13-00075 | 08/12/2014 | Claimant(s): Johnny Burris
Claimant Lawyers(s): Nicholas Woodfield
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Robert S. McConnell, Katherine M. Harmeyer, Brian L Evans
Hearing Site: Phoenix, AZ
| | |
| 12-01906 | 03/12/2014 | Claimant(s): Deborah Selland, James Selland
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Jason Troth, Kyle Spahn, Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): John Starnes
Arbitrator(s): Robert S. McConnell, David F. Sargent, David S. Eisenberg
Hearing Site: Phoenix, AZ
| | Expungement |
| 12-01045 | 06/19/2013 | Claimant(s): Dake Investments
Claimant Lawyers(s): Joe Wojciechowski
Respondent(s): Charles Funke, Gregory Sernett, James Mason, Mark Sorensen, Michael Maughan, Sharon Weinle, Insphere Securities.
Respondent Lawyers(s): Daniel A. Hetzel
Arbitrator(s): Robert S. McConnell, Bruce R. Heurlin, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | Expungement |
| 11-02089 | 02/26/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lee Brown
Respondent Lawyers(s): Lee Kim Brown
Arbitrator(s): Robert S. McConnell, Lanny M. Leff, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
