| 09-00909 | 04/19/2010 | Claimant(s): Jere Planck, Mary Planck, Jere W. and Mary C. Planck Family Trust
Claimant Lawyers(s): Maura K. McKelvey
Respondent(s): UBS Financial Services Inc., Scott Miller
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Gary L. Freeman, Jerome K. Altshuler, Richard D. Fincher
Hearing Site: Phoenix, AZ
|  | Expungement |
| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
| | $91,129 |
| 08-01230 | 04/23/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Gerek
Respondent Lawyers(s): Martin Gerek
Arbitrator(s): Charles W. Herf, Marvin J. Klein, Gary L. Freeman
Hearing Site: Las Vegas, NV
| | |
| 08-01181 | 03/26/2009 | Claimant(s): Naomi Britton
Claimant Lawyers(s): Burton M. Bentley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Gary L. Freeman, Marc Kalish, Amy L. Lieberman
Hearing Site: Phoenix, AZ
| | |
| 08-00948 | 12/23/2008 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jeffrey D. Hedlund
Respondent(s): Mark Islas, Mayra Angulo
Respondent Lawyers(s): Bruce R. Heurlin
Arbitrator(s): Victor B. Taube, Gary L. Freeman, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | |
