| 16-00721 | 09/12/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): Vincent Wilson
Respondent Lawyers(s): Vincent Evan Wilson
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
| | |
| 15-03386 | 08/25/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Susanna Foels, Amrita Equities, Ridhwan Foundation
Respondent Lawyers(s): Christopher T. Leach
Arbitrator(s): Jerome C. Zackroff, Leonard M. Goldstein, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 15-02946 | 08/18/2016 | Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H. Black
Respondent(s): Craig Sorenson, Troy West
Respondent Lawyers(s): David von Gunten, Paul R. McMenamin
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | |
| 15-01565 | 08/05/2016 | Claimant(s): Daniel Roberts
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Janus Distributors LLC
Respondent Lawyers(s): Emily F. Keimig
Arbitrator(s): Steve A. Miller, Kathy L. Eisenmenger, Elaine Frances Brown
Hearing Site: Denver, CO
| | |
| 15-01142 | 07/14/2016 | Claimant(s): Jacob Derrig
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jackson National Life Distributors LLC
Respondent Lawyers(s): William R. Schulz
Arbitrator(s): Edward F. Altman, Rody P. Biggert
Hearing Site: Denver, CO
| | |
| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 14-03287 | 03/24/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Jason Ashcraft
Respondent Lawyers(s): David H. Wollins
Arbitrator(s): Jonathan H. Larson, Mary C. Davis, Jeffrey James Scott
Hearing Site: Denver, CO
| | |
| 15-01648 | 11/13/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Quentin Robb
Respondent Lawyers(s): Quentin Leroy Robb
Arbitrator(s): Susan L. Walker
Hearing Site: Denver, CO
| | |
| 14-01854 | 10/15/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Joshua F. Bugos
Respondent(s): Eric Erickson
Respondent Lawyers(s): Eric John Erickson
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | |
| 13-01579 | 12/04/2014 | Claimant(s): James Young
Claimant Lawyers(s): Brian J. Neville
Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn
Hearing Site: Denver, CO
| | Expungement |
