16-00067 | 11/16/2017 | Claimant(s): Ryan Behm Claimant Lawyers(s): Roger N. Walter Respondent(s): Thrivent Investment Management Inc. Respondent Lawyers(s): Lindsay E. Wuller Arbitrator(s): Steven Meyrich, David L. Erickson, William E Murray Hearing Site: Denver, CO
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13-03501 | 06/10/2014 | Claimant(s): Charles Schwab & Co.. Claimant Lawyers(s): Michael T. West Respondent(s): Daniel Violette, Daniel M. Violette IRA Rollover Respondent Lawyers(s): Timothy Dennin Arbitrator(s): Martha Jeanne Wilcoxson, Thomas L. Dueber, David L. Erickson Hearing Site: Denver, CO
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09-05196 | 11/19/2010 | Claimant(s): Morgan Stanley Claimant Lawyers(s): John Lutz Respondent(s): George Garro, Jon Metzger, SMH Capital Inc. Respondent Lawyers(s): William D. Nelson Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson Hearing Site: Denver, CO
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07-03161 | 12/08/2009 | Claimant(s): Mark Bowman Claimant Lawyers(s): Mark J. Appleton Respondent(s): Wells Fargo Investments, U.S. Bancorp Investments. Respondent Lawyers(s): John S. Lutz, Lee Merreot Arbitrator(s): Steven Meyrich, Patti Fellows Peters, David L. Erickson Hearing Site: Denver, CO
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07-02957 | 04/14/2008 | Claimant(s): John Phillips Claimant Lawyers(s): John S. Lutz Respondent(s): Lincoln Financial Distributors. Respondent Lawyers(s): Jennifer L. Petruccelli Arbitrator(s): Richard M. Reider, Stephen Kirk Ingebretsen, David L. Erickson Hearing Site: Denver, CO
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