| 13-03349 | 07/16/2014 | Claimant(s): J Simmons
Claimant Lawyers(s): J Kim Simmons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Suanne M. Parro
Hearing Site: Denver, CO
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| 13-02986 | 07/02/2014 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Charles G. Michaels
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
| | Expungement |
| 13-02600 | 04/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Brian Merrigan
Respondent Lawyers(s): Brian Merrigan
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
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| 13-03081 | 04/01/2014 | Claimant(s): Amin Dabit
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 11-01350 | 03/27/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Lasser
Respondent Lawyers(s): Steven M. Feder
Arbitrator(s): Charles G. Michaels, William Louis Anthes, Robert H. Ottesen
Hearing Site: Denver, CO
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| 13-00995 | 02/13/2014 | Claimant(s): Francis Carrington
Claimant Lawyers(s): Charles M. Poplstein
Respondent(s): Janus Capital Group., Janus Distributors
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Joseph M. Costello, Steven Meyrich, Mary C. Davis
Hearing Site: Denver, CO
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| 13-02060 | 02/07/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Doris Bell Cogswell Morfit Trust
Respondent Lawyers(s): Alan C. Friedberg
Arbitrator(s): Arthur E. Otten, Dominic Alecci, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | Expungement |
| 11-04801 | 12/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Daniel Mccormack, Wayne Roys
Respondent Lawyers(s): Jonathan Stoler, Stephen D. Csajaghy
Arbitrator(s): Steven M. Feder, Mari C. Bush, Robert Allen Dudley
Hearing Site: Denver, CO
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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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