| 11-02575 | 07/17/2012 | Claimant(s): Michael Higgins
Claimant Lawyers(s): Mannie Kalman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Debra Brothers Self, Richard Djokic, Kenneth Harry Combs
Hearing Site: Albuquerque, NM
| | |
| 11-01251 | 02/28/2012 | Claimant(s): Gilbert H. Quintana, IRA, Roth IRA, Jerry H. Quintana IRA, Jose Biterbo & Zulema Quintana Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Steven Meyrich
Hearing Site: Albuquerque, NM
|  | Expungement |
| 10-03824 | 11/16/2011 | Claimant(s): Mary Daige
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Susan M. Thevenet
Hearing Site: Albuquerque, NM
| | Expungement |
| 09-06446 | 07/15/2011 | Claimant(s): Deborah Vollstedt, Steve Vollstedt, Steve or Deborah Vollstedt Trust
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Katherine M. Harmeyer, James J. Ashe, James W. Warren
Hearing Site: Albuquerque, NM
| | $323,420 |
| 10-03249 | 06/27/2011 | Claimant(s): Raymond F. and Margaret A. Mendez Revoca
Claimant Lawyers(s): Raymond F. Mendez
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Matthew P. Fischer
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $225 |
| 10-03465 | 06/15/2011 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Richard Djokic
Hearing Site: Albuquerque, NM
| | |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
| | $500,000 |
| 09-03810 | 03/24/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Martin
Respondent Lawyers(s): Richard E. Olson
Arbitrator(s): David W. Martin, Mary E. Lockett, LeRoy Melvin Gilbertson
Hearing Site: Albuquerque, NM
| | |
| 10-03815 | 02/17/2011 | Claimant(s): Kimberly McCloud
Claimant Lawyers(s): Kimberly S. McCloud
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $425 |
| 09-03964 | 01/26/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Curtis Lund
Respondent Lawyers(s): Curtis V. Lund
Arbitrator(s): Deborah C. Bernot
Hearing Site: Albuquerque, NM
| | |
