| 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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| 16-01690 | 06/23/2017 | Claimant(s): John Avey
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): BOSC.
Respondent Lawyers(s): Erica Anne Dorwart
Arbitrator(s): Steven Meyrich, Martin M. Berliner, Sheldon Edward Friedman
Hearing Site: Denver, CO
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| 16-03133 | 05/26/2017 | Claimant(s): Paul McIntyre
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
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| 16-02943 | 04/05/2017 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
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| 16-02769 | 02/27/2017 | Claimant(s): Sean Covi
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
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| 16-01693 | 02/23/2017 | Claimant(s): Kean Boucher
Claimant Lawyers(s): Tosh D. Grebenik
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel L. McClaren, Anita Rae Shapiro, Tausha C. Riley
Hearing Site: Denver, CO
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| 16-02630 | 02/21/2017 | Claimant(s): Kezia Samuel
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): Jackson National Life Distributors LLC
Respondent Lawyers(s): William R. Schulz
Arbitrator(s): Donald P. Loyd, Samuel L. McClaren, Henry Eric Peitz
Hearing Site: Denver, CO
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| 16-02886 | 02/07/2017 | Claimant(s): Ralph Janitell
Claimant Lawyers(s): Ralph David Janitell
Respondent(s): Tiaa-Cref Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 14-03570 | 11/22/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Christopher Mullen, Heather Roentz
Respondent Lawyers(s): Jason Roberts, Russell K. Bean
Arbitrator(s): Mari C. Bush, Jo-Marie Lisa, Edward S. Koppman
Hearing Site: Denver, CO
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| 16-00120 | 11/03/2016 | Claimant(s): Candice Hutton
Claimant Lawyers(s): Candice Joy Hutton
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): John S. Lutz, Charles G. Michaels, Suanne M. Parro
Hearing Site: Denver, CO
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