| 19-02189 | 12/11/2019 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Walter Sweatt
Respondent Lawyers(s): Walter Lee Sweatt
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
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| 18-02333 | 12/09/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Beau Pollard, Jason Baer
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Michael S. Matek, Ilene T. Gormly, Margaret Ann Barrington
Hearing Site: Denver, CO
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| 18-02508 | 11/26/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Despard
Respondent Lawyers(s): William Roy Despard
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 19-01228 | 11/04/2019 | Claimant(s): Peter Tedstrom
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 18-04185 | 10/03/2019 | Claimant(s): James O'Leary
Claimant Lawyers(s): Jeffrey S. Greenhaus
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 19-00286 | 09/18/2019 | Claimant(s): Robert Schwarz
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 18-04037 | 09/16/2019 | Claimant(s): Erinn Ford
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Jeremy Carr, Tony Pizelo
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 18-02220 | 09/09/2019 | Claimant(s): Carol Chiarito
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Ronald G. Guida, Richard Djokic, Michael Eugene Ford
Hearing Site: Denver, CO
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| 19-00390 | 08/29/2019 | Claimant(s): Ron Zimmermann
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
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| 18-03999 | 08/22/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A La Porta
Respondent(s): Randolph George
Respondent Lawyers(s): Randolph William George
Arbitrator(s): Martin M. Berliner, Charles G. Michaels, Robert Burns Logan
Hearing Site: Denver, CO
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