| 23-03642 | 06/25/2024 | Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Stuart Sinai, Mary C. Davis, Peter A.P. Dunlop
Hearing Site: Los Angeles, CA
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| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
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| 22-00519 | 05/18/2023 | Claimant(s): Michael Herman
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services.
Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch
Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang
Hearing Site: Denver, CO
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| 19-03422 | 03/26/2020 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Richard Kuhlman
Respondent(s): Sanjoy Dasgupta
Respondent Lawyers(s): Sanjoy Dasgupta
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
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| 18-01845 | 03/13/2020 | Claimant(s): Yang Song
Claimant Lawyers(s): Yang Lucas Song
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Carla B. Minckley
Hearing Site: Denver, CO
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| 17-02992 | 11/05/2018 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Russell D. Duncan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Mary C. Davis, Leonard M. Goldstein, Margaret Ann Barrington
Hearing Site: Denver, CO
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| 15-03103 | 09/23/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shawn Fabian
Respondent(s): Rob Salinger
Respondent Lawyers(s): Rob Salinger
Arbitrator(s): Mary C. Davis
Hearing Site: Albuquerque, NM
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| 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
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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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| 12-01922 | 02/27/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brent Burrows
Respondent Lawyers(s): Otto K. Hilbert
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
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