| 10-04713 | 02/10/2012 | Claimant(s): Brent Allan, Deborah Allan, Corey France Custodial, Lawrence R. Allan Custodial, Brent R. Allan IRA, Deborah B. Allan IRA, Brent Allan and Deborah Allan JTWROS, Allan Limited Partnership, Alln Family Limited Partnership, Alln Limited Partnership FBO Children, B & B Irrevocable Trust UAD 3/21/99
Claimant Lawyers(s): Michael J. Frazelle
Respondent(s): Allan Flader, Brian Flader, UBS Financial Services Inc., RBC Dain Rauscher.
Respondent Lawyers(s): Jennifer L. Meeker, Michael M. Gless, Michael Pysno
Arbitrator(s): George N. Roy, Joe S. Tarrer, Paul T. Sachs
Hearing Site: Phoenix, AZ
|  | Expungement |
| 09-07065 | 02/24/2011 | Claimant(s): Maria Henrichs
Claimant Lawyers(s): Paul J. Roshka
Respondent(s): Attila Toth
Respondent Lawyers(s): Attila Gyula Toth
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
| | $46,731 |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-02674 | 06/09/2010 | Claimant(s): Larry Osborne
Claimant Lawyers(s): Armand Salese
Respondent(s): Chase Investment Services Corp., Steven Campbell
Respondent Lawyers(s): Susan M. Benton
Arbitrator(s): George N. Roy, Deborah C. Bernot, Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | |
| 08-04148 | 11/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Donald B. Wallace
Respondent(s): Charles Buckhannon
Respondent Lawyers(s): Rosemary Cook
Arbitrator(s): George N. Roy, Irving Mindes, Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 08-03538 | 10/30/2009 | Claimant(s): Roseleen Anderson
Claimant Lawyers(s): Roseleen R. Anderson
Respondent(s): Charles Schwab & Co.., Michael Continelli
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | $110 |
| 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
| | |
| 08-02895 | 04/30/2009 | Claimant(s): Mark Moran
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): George N. Roy, Thomas P. Delnoce, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
| | |
| 06-05408 | 07/31/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andy James
Respondent Lawyers(s): Armand Salese
Arbitrator(s): Richard B. Bequette, George N. Roy, Allan D. Breyer
Hearing Site: Phoenix, AZ
| | |
| 07-01955 | 02/06/2008 | Claimant(s): Ronald L. and Shelli M. Elledge
Claimant Lawyers(s): Eddie A. Pantiliat
Respondent(s): Brian Tollefson, Kevin Wittig, Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): George N. Roy
Hearing Site: Phoenix, AZ
| | Stipulated Award and Expungement |
