| 09-02358 | 02/11/2010 | Claimant(s): Donna Wheeler, Teri Smith, Ruth E. Park Family Trust
Claimant Lawyers(s): Eric J. McNeilus
Respondent(s): Wachovia Securities, Edward Gardner
Respondent Lawyers(s): Adele Ponce
Arbitrator(s): Joe S. Tarrer, Marc Kalish, Rebecca S. Falatka
Hearing Site: Phoenix, AZ
|  | $0 |
| 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
| | |
| 08-01181 | 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
| | |
| 08-01092 | 03/05/2009 | Claimant(s): John Saldutte
Claimant Lawyers(s): David G. Bray
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): Margaret Goetze
Arbitrator(s): Marc Kalish, Peter Joseph Kalman, David F. Sargent
Hearing Site: Phoenix, AZ
| | |
| 07-01511 | 09/17/2007 | Claimant(s): Ronald Tomaszewski, Susan Tomaszewski
Claimant Lawyers(s): Ronald E. Tomaszewski, Susan M. Tomaszewski
Respondent(s): Sagepoint Financial.
Respondent Lawyers(s): Abby Henig
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $0 |
| 06-01674 | 09/04/2007 | Claimant(s): Mark Quale
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carol B. Trask
Arbitrator(s): Marc Kalish, Beryl I. Dulsky, Denis Frank
Hearing Site: Phoenix, AZ
| | |
| 07-00223 | 08/13/2007 | Claimant(s): Richard Caris
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Marc Kalish, Robert W. Bruns, Curtis L. Ritland
Hearing Site: Phoenix, AZ
| | $690,430 |
