| 23-01662 | 08/15/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Anthony Paul, Nicholas Hamilton
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Joseph M. Costello, Michael J Norton, Rick Gale Doty
Hearing Site: Denver, CO
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| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
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| 23-01744 | 04/22/2024 | Claimant(s): Ronald Beckner
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
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| 23-02834 | 04/08/2024 | Claimant(s): Melissa Devolve
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
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| 20-01275 | 02/02/2024 | Claimant(s): Ryan Mummert
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf, Michael J Norton
Hearing Site: Albuquerque, NM
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| 23-00321 | 12/06/2023 | Claimant(s): Scott Baker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
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| 23-00184 | 09/14/2023 | Claimant(s): Todd Smith
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield
Arbitrator(s): Michael J Norton
Hearing Site: Albuquerque, NM
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| 22-01400 | 01/24/2023 | Claimant(s): Harold Madison
Claimant Lawyers(s): James P. Galvin
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael Jeffrey Norton, Amani Amir Ali, Sophia C. Hassman
Hearing Site: Denver, CO
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| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
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| 21-00001 | 07/08/2021 | Claimant(s): Brian Rorick
Claimant Lawyers(s): Michelle Atlas
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
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