10-01058 | 09/28/2010 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Diane C. Fischer Respondent(s): Megan Gutierrez Respondent Lawyers(s): Megan Jean Gutierrez Arbitrator(s): Jeff Abrams Hearing Site: Albuquerque, NM
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09-05336 | 09/02/2010 | Claimant(s): Howard Rubin Claimant Lawyers(s): Howard A. Rubin Respondent(s): TD Ameritrade. Respondent Lawyers(s): Hollie M. Mason Arbitrator(s): John Fleming Kelly Hearing Site: Albuquerque, NM
| | $163 |
09-03601 | 06/14/2010 | Claimant(s): Jack Lang, Tina Lang, The Jack A. & Tina L. Lang Family Trust Claimant Lawyers(s): Holly C. Hamm, Ross Spence Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Lacey, Merrill Lynch Life Agency Inc. Respondent Lawyers(s): Joseph L. Hood Arbitrator(s): Mica T. Duncan, Joe S. Tarrer, Richard L. Merkel Hearing Site: Albuquerque, NM
| | $100,000 |
07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry Claimant Lawyers(s): Clinton W. Marrs Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett Hearing Site: Albuquerque, NM
| | $135,000 |
09-03738 | 11/13/2009 | Claimant(s): Edward Schiavi Claimant Lawyers(s): Christopher M. Moody Respondent(s): Southwest Securities. Respondent Lawyers(s): Eric R. Hail Arbitrator(s): Richard R. Edmister Hearing Site: Albuquerque, NM
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09-01310 | 10/27/2009 | Claimant(s): Carol deMontel Claimant Lawyers(s): Carol deMontel Respondent(s): Jennifer Goodman, UBS Financial Services Inc. Respondent Lawyers(s): Kathleen S. Adams Arbitrator(s): R. Peter Faris Hearing Site: Albuquerque, NM
| | $0 |
08-01403 | 10/12/2009 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Susan Guerette Respondent(s): Lee Munson, Portfolio LLC Respondent Lawyers(s): Clinton W. Marrs Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks Hearing Site: Albuquerque, NM
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08-02116 | 04/23/2009 | Claimant(s): Edward Schiavi Claimant Lawyers(s): Clinton W. Marrs Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Michael J. Fortunato Arbitrator(s): Patrick J. Halter, Kenneth R. Johnston, Richard D. Fincher Hearing Site: Albuquerque, NM
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07-02490 | 03/09/2009 | Claimant(s): Pueblo of Zuni Claimant Lawyers(s): Mario J. Martinez Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Joseph L. Calabrese Arbitrator(s): Patrick J. Halter, Frederick K. Steiner, William J. Kenna Hearing Site: Albuquerque, NM
| | $0 |
06-05031 | 02/20/2009 | Claimant(s): Barbara Zickler IRA Claimant Lawyers(s): Justin R. Sawyer Respondent(s): Brookstreet Securities Corporation Respondent Lawyers(s): Thomas H. Fehn Arbitrator(s): James B. Vessey, Peter J. Broullire, Edward Allan Hindman Hearing Site: Albuquerque, NM
| | Stipulated Award |