| 10-03913 | 06/17/2011 | Claimant(s): Mario Martinez, Trustee of the George H.
Claimant Lawyers(s): Gerald W. Alston
Respondent(s): Donald Marshall, Roselyn Marshall, First Financial Equity Corporation
Respondent Lawyers(s): Donald Richard Marshall, Edwin A. Barkel
Arbitrator(s): Herschell E. Parent, Joe S. Tarrer, Richard D. Fincher
Hearing Site: Phoenix, AZ
|  | Dismissed by Rule 12206 |
| 09-07184 | 12/17/2010 | Claimant(s): David Parri
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $0 |
| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $71,532 |
| 09-05255 | 10/18/2010 | Claimant(s): Raymond Cole
Claimant Lawyers(s): William J. Gladden
Respondent(s): Douglas Cochran, Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Leon G. Mackey, Patricia G. Parthe, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $270,600 |
| 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 |
| 08-02116 | 04/23/2009 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Patrick J. Halter, Kenneth R. Johnston, Richard D. Fincher
Hearing Site: Albuquerque, NM
| | |
| 08-01247 | 12/03/2008 | Claimant(s): Kimberly Ohl, William Ohl, II
Claimant Lawyers(s): William C. Ohl
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Ray Kinnard
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $6,809 |
