| 22-01321 | 10/21/2022 | Claimant(s): Rodney Becker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Gregory G. Gocek
Hearing Site: Denver, CO
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| 21-02439 | 09/19/2022 | Claimant(s): Clark Brothers Investments
Claimant Lawyers(s): Jason R. Clark
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Robyn C. Crowther
Arbitrator(s): Langdon T. Owen, Margaret Ann Barrington, Carol L. Roslund
Hearing Site: Denver, CO
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| 22-00031 | 09/08/2022 | Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): Geneos Wealth Management
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 21-01541 | 09/06/2022 | Claimant(s): Kimberly JaJack
Claimant Lawyers(s): Robert M. Liechty
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Timothy M. Kratz
Arbitrator(s): Michael S. Matek, Leonard M. Goldstein, Sharyn Beers
Hearing Site: Denver, CO
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| 17-02814 | 07/26/2022 | Claimant(s): Mid Atlantic Capital Corporation
Claimant Lawyers(s): Erin Timmerman
Respondent(s): Craig Hayward
Respondent Lawyers(s): Giovanni M. Ruscitti
Arbitrator(s): Donald N. Tolin, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Denver, CO
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| 21-02200 | 04/14/2022 | Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
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| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
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| 21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil
Claimant Lawyers(s): Jeffrey R. Thomas
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush
Hearing Site: Denver, CO
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| 20-03918 | 12/17/2021 | Claimant(s): Howard Hill
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Capital Brokerage.
Respondent Lawyers(s): David von Gunten
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
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| 18-03893 | 10/15/2021 | Claimant(s): Shawn Lawson
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Ronald G. Guida, Richard Djokic, Henry Zabarsky
Hearing Site: Denver, CO
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