| 10-00080 | 11/15/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO
| | |
| 08-04441 | 10/15/2010 | Claimant(s): Debra White
Claimant Lawyers(s): John White
Respondent(s): CapWest Securities., Capstone Financial Group.
Respondent Lawyers(s): Gregory Sherwin
Arbitrator(s): Dennis Dowd, Steven Meyrich, Thomas R. Bromberg
Hearing Site: Denver, CO
| | |
| 09-02996 | 05/03/2010 | Claimant(s): Wedbush Morgan Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 09-00320 | 04/30/2010 | Claimant(s): Eric Ely
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime L. Haggard
Arbitrator(s): Donald N. Tolin, Martha M. Walker, Deanna M. Tuley
Hearing Site: Denver, CO
| | |
| 09-01743 | 04/23/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Corliss
Respondent Lawyers(s): Jeffrey K. Peck
Arbitrator(s): James J. Moylan
Hearing Site: Denver, CO
| | |
| 08-04008 | 03/26/2010 | Claimant(s): Darren Meyer
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Magarian
Arbitrator(s): S. Lee Terry, Devra Ann Perch, Bradford J. Lam
Hearing Site: Denver, CO
| | |
| 09-04830 | 03/03/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Charles Davey
Respondent Lawyers(s): Charles Lorne Davey
Arbitrator(s): Albert T. T. Cook
Hearing Site: Denver, CO
| | |
| 08-00852 | 02/11/2010 | Claimant(s): Multi-Financial Securities Corporation
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Angel Chi, Banc Of America Securities LLC
Respondent Lawyers(s): Angel Chi, Robert J. Anello
Arbitrator(s): Dennis R. Frohlich, Bradford J. Lam, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 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
| | |
| 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
| | |
