| 14-01417 | 12/24/2014 | Claimant(s): Donald E. Hoke and Jean N. Hoke Family T
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): R. E. Thompson
Arbitrator(s): Donald W. Diones, James D. Knotter, Charles E. Riggs
Hearing Site: Albuquerque, NM
|  | Dismissed by Rule 12206 |
| 13-02193 | 11/12/2014 | Claimant(s): Randy Greene, Tanya Greene
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Charles E. Riggs, Richard D. Fincher, Bruce J. Pederson
Hearing Site: Albuquerque, NM
| | Expungement |
| 13-02122 | 10/07/2014 | Claimant(s): Jerry Camilli
Claimant Lawyers(s): Jonathan Kurta
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thaddeus J. Tecza, Robert John Wagener, James Mark Eason
Hearing Site: Albuquerque, NM
| | $1,128,700 |
| 12-04087 | 07/30/2014 | Claimant(s): Willie Benning
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Arnold Montano, Cambridge Investment Research Advisors, Cambridge Investment Research., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Sam Y. Edgerton
Arbitrator(s): Patrick J. Halter, Harvey W Gordon, Richard Djokic
Hearing Site: Albuquerque, NM
| | $243,510 |
| 12-04162 | 04/03/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James D. Knotter, James Sean Healey, Robert H. Ottesen
Hearing Site: Albuquerque, NM
| | |
| 11-03863 | 10/10/2013 | Claimant(s): Frances Salazar
Claimant Lawyers(s): Eric D. Norvell
Respondent(s): John Strange, Metlife Securities Inc.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): Barry H. Barnett, Mary C. Davis, Hazel E. Hanley
Hearing Site: Albuquerque, NM
| | $0 |
| 11-03532 | 05/29/2013 | Claimant(s): Leroy Martinez
Claimant Lawyers(s): Leroy Martinez
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Albuquerque, NM
| | $0 |
| 12-01793 | 05/02/2013 | Claimant(s): Donald Soards
Claimant Lawyers(s): Donald E. Soards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): James B. Eichberg, Ronald G. Guida, David L. Erickson
Hearing Site: Albuquerque, NM
| | $0 |
| 11-01723 | 01/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Charles Goodman
Respondent Lawyers(s): Mark L. Ish
Arbitrator(s): Jonathan H. Larson, Charles E. Riggs, J. Robert Brown
Hearing Site: Albuquerque, NM
| | |
| 10-05197 | 11/30/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Patrick Kohls
Respondent Lawyers(s): Kyle W. Wilcox
Arbitrator(s): Alan Stamm
Hearing Site: Albuquerque, NM
| | |
