| 13-03273 | 11/10/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Patricia G. Parthe, Louis M. Parker, Peter Joseph Kalman
Hearing Site: Phoenix, AZ
| | |
| 14-01243 | 04/17/2015 | Claimant(s): Scott Brittenham, Scott Brittenham Trust U/A DTD 4/17/12
Claimant Lawyers(s): Aegis J. Frumento
Respondent(s): Wells Fargo Advisors, Martin Welzmuller
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): George W. Harding, Paul J. Robinson, Louis M. Parker
Hearing Site: Phoenix, AZ
|  | Expungement |
| 13-01207 | 03/16/2015 | Claimant(s): James Wick
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Thomas A. Peterson, Patricia G. Parthe, Louis M. Parker
Hearing Site: Phoenix, AZ
| | Expungement |
| 14-00770 | 10/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Gifford Crosby
Respondent Lawyers(s): Gifford Winston Crosby
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 13-02440 | 07/08/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Britt Lachemann
Respondent Lawyers(s): Britt Michael Lachemann
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 10-04979 | 11/28/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): David Allen
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
| | |
| 09-06787 | 07/25/2011 | Claimant(s): Jean Bernal, Jeannette McClennan, John McClennan, Manuel Bernal
Claimant Lawyers(s): Salvador Ongaro
Respondent(s): Attila Toth, Capwest Securities., Latitude Financial Services, Workman Securities Corporation
Respondent Lawyers(s): Attila Gyula Toth, Debra A. Jenks, H Thomas Fehn
Arbitrator(s): James E. Stark, Louis M. Parker, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | $568,870 |
| 08-03150 | 11/25/2009 | Claimant(s): Steven Cohen and Marsha Cohen
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Jr., Morgan Keegan & Company.
Respondent Lawyers(s): Nancy H. Baughan, Patrice R. Walker
Arbitrator(s): Vernon Barnum, Louis M. Parker, Richard W. Pendleton
Hearing Site: Las Vegas, NV
| | $0 |
