| 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 |
| 07-02886 | 10/06/2008 | Claimant(s): Sherpa Fund
Claimant Lawyers(s): John R. Fahy
Respondent(s): Robert Gioia, AFS Brokerage.
Respondent Lawyers(s): Donald C. Hurwitz, Robert Gioia
Arbitrator(s): Peter J. Conlon, John Courtade, Maryanne M. Esser
Hearing Site: Dallas, TX
| | $0 |
| 06-05269 | 05/07/2008 | Claimant(s): Larry Graham
Claimant Lawyers(s): Michael D. Nosler
Respondent(s): Donny Hurwitz, Kenneth Shade, Robert Gioia, Terry Hamann, AFS Brokerage.
Respondent Lawyers(s): Donny Hurwitz, Kenneth E. Shade, Robert M. Gioia, Terry W. Hamann, Terry W. Hamman
Arbitrator(s): Roger T. Felthoven, Dominic Alecci, David Butler
Hearing Site: Denver, CO
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