| 19-03362 | 04/30/2020 | Claimant(s): Matthew Wilson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
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| 18-03060 | 05/14/2019 | Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
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| 16-00293 | 12/13/2018 | Claimant(s): John Everson, Rosalie Everson
Claimant Lawyers(s): James Thomaidis
Respondent(s): Edward Jones
Respondent Lawyers(s): Thomas H. Wagner
Arbitrator(s): Ilene T. Gormly, Marilyn R. Lewis, Carol L. Roslund
Hearing Site: Denver, CO
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| 16-02316 | 09/04/2018 | Claimant(s): Dwain Owens, Myron Owens, Strategic Legacy Advisors.
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Margaret Tietjen, Richard Woltman, Girard Securities.
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Marilyn R. Lewis, Verne R. Gray, David K. Schaal
Hearing Site: Omaha, NE
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| 13-01377 | 10/31/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): William Taylor
Respondent Lawyers(s): William H. Taylor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
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| 11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
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| 10-03278 | 08/26/2011 | Claimant(s): Steven Casull
Claimant Lawyers(s): Steven J. Casull
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Rodger A. Nye
Arbitrator(s): Peggy Peterson, A. O. Headman, Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
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| 09-05438 | 05/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Gracia, Lorrie Mayes
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein
Hearing Site: Denver, CO
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| 08-02993 | 10/06/2009 | Claimant(s): Michael Pappas
Claimant Lawyers(s): Marc F. Colin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ann Hensler
Arbitrator(s): Gene R. Thornton, Marilyn R. Lewis, Michael A. Ruderman
Hearing Site: Denver, CO
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