13-00194 | 07/11/2014 | Claimant(s): Jennifer Figge Claimant Lawyers(s): Rand S. Wonio Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A Respondent Lawyers(s): William D. Nelson Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz Hearing Site: Denver, CO
| | $0 |
12-04043 | 06/13/2014 | Claimant(s): Carol Eckerman, Ronald Eckerman, Carol J. Eckerman Trust Claimant Lawyers(s): Bradd L. Milove Respondent(s): Patricia Monat, Monat Financial Services, Monat Wealth Management, SII Investments. Respondent Lawyers(s): Heidi E. VonderHeide Arbitrator(s): Evonne A. Hurst, Bruce Brown, Alain Frecon Hearing Site: Des Moines, IA
| | Expungement |
11-03091 | 01/08/2014 | Claimant(s): Dennis Morphew, Vicki Morphew Claimant Lawyers(s): Dennis Morphew Respondent(s): Charles Childs, Joshua Suter, Lynn Koczera, Blue Moon Financial, Nomlis Respondent Lawyers(s): Daniel J. Levin Arbitrator(s): Dennis Dowd, Bruce Brown, Robert M. Fusfeld Hearing Site: Denver, CO
| | Expungement |
11-00935 | 09/29/2011 | Claimant(s): Lois Moser, Royce Moser Claimant Lawyers(s): Royce Moser Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith A. Felde Arbitrator(s): Bruce Brown Hearing Site: Salt Lake City, UT
| | $362 |
09-06394 | 11/18/2010 | Claimant(s): David Earl, Estate of Sophie H. Bebb Claimant Lawyers(s): James S. Helfrich Respondent(s): Morgan Stanley & Co., Nancy Mercado Respondent Lawyers(s): Cassandra Knight Arbitrator(s): Bruce Brown, Daniel E. Wright, Hazel E. Hanley Hearing Site: Denver, CO
| | $300 |
09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II Claimant Lawyers(s): Alan C. Friedberg Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs Hearing Site: Denver, CO
| | $62,125 |
09-02338 | 06/30/2010 | Claimant(s): Sally Frederick Claimant Lawyers(s): D. Elizabeth Wills Respondent(s): Donald Hartmann, Michael Abraham, Hallmark Consulting Group., JRL Capital Corporation Respondent Lawyers(s): Daniel D. White, Sylvia M. Scott Arbitrator(s): Thaddeus J. Tecza, Bruce Brown, Gregory P. Lembree Hearing Site: Denver, CO
| | $195,132 |
08-04049 | 06/04/2010 | Claimant(s): Christianson, Norman & Ellen Claimant Lawyers(s): Michael C. Skouteris Respondent(s): Morgan Keegan & Company., William Wolbrecht Respondent Lawyers(s): Michael A. Brady Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch Hearing Site: Denver, CO
| | $247,557 |
08-01816 | 04/09/2010 | Claimant(s): Emma Bufkin, The Trust Agreement of Emma Doris Bufkin Claimant Lawyers(s): Michael P. Cillo Respondent(s): Alton Mayeu, Merrill Lynch Pierce Fenner & Smith Inc., Sharon Bentz Respondent Lawyers(s): Bradley B. Rounsaville, Stephen H. Kupperman Arbitrator(s): Bruce Brown, Samuel Clinton O'Daniel, John Jerold Barrett Hearing Site: Denver, CO
| | $85,467 |
07-03412 | 03/05/2009 | Claimant(s): Aimee Mason-Hobbins Claimant Lawyers(s): James S. Helfrich Respondent(s): Derek Kent, Sagepoint Financial. Respondent Lawyers(s): Gene R. Thornton, William D. Nelson Arbitrator(s): Robert C. Roth, Bruce Brown, Michael A. Ruderman Hearing Site: Denver, CO
| | $509,800 |