| 11-02987 | 03/13/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Rene' Espinoza
Respondent Lawyers(s): Peter Roeser
Arbitrator(s): Marc Kalish, James W. Warren, Richard Kent Mahrle
Hearing Site: Phoenix, AZ
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| 10-00264 | 01/30/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Nathan Lorbietzki
Respondent Lawyers(s): Erik W. Fox
Arbitrator(s): Nancy Hutt, James W. Warren, David L. Moran
Hearing Site: Las Vegas, NV
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| 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 |
| 09-02713 | 06/23/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Christopher J. Gallo
Arbitrator(s): James W. Warren
Hearing Site: Las Vegas, NV
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| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
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| 09-03507 | 06/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Mark Emberton
Respondent Lawyers(s): Mark Radley Emberton
Arbitrator(s): James W. Warren
Hearing Site: Phoenix, AZ
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| 09-02992 | 05/28/2010 | Claimant(s): Martin Fischer
Claimant Lawyers(s): Martin J. Fischer
Respondent(s): Andrea Fischer, Joseph Lushina, Edward Jones
Respondent Lawyers(s): Andrea Fischer, Edwin A. Barkel
Arbitrator(s): Lester Friedman, James W. Warren, Ralph L. Jacobson
Hearing Site: Reno, NV
| | $15,300 |
| 09-03604 | 03/01/2010 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jamie Dick
Respondent Lawyers(s): Jamie Lydell Dick
Arbitrator(s): James W. Warren
Hearing Site: Las Vegas, NV
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| 09-00819 | 12/07/2009 | Claimant(s): Kathleen Castle, Trustee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): John J. George, James W. Warren, William Patterson Cashill
Hearing Site: Reno, NV
| | $57,981 |
| 07-01662 | 11/24/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory Simon
Respondent(s): Donna Shurot
Respondent Lawyers(s): Donna Shurot
Arbitrator(s): Thomas D. Tays, Thomas P. Delnoce, James W. Warren
Hearing Site: Phoenix, AZ
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