14-01439 | 02/28/2018 | Claimant(s): Mary Anderson, William Anderson, A.M. Anderson Properties, L.C., Anderson Properties., NNN Parkway Corporate Plaza 21, Mark Anderson Properties Claimant Lawyers(s): Steven V. Hunter Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Paul D. Gamez Arbitrator(s): Donald N. Tolin, Verne R. Gray, Alain Frecon Hearing Site: Des Moines, IA
| | Dismissed by Rule 12206 |
16-01119 | 01/26/2018 | Claimant(s): Deborah Barnes Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Donald N. Tolin, Jon Richard Catten, Constance B. White Hearing Site: Salt Lake City, UT
| | Expungement |
16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013 Claimant Lawyers(s): Aaron Israels Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein Hearing Site: Denver, CO
| | Expungement |
15-03299 | 10/26/2017 | Claimant(s): Estate of Jack R. Willett Claimant Lawyers(s): Gail E. Boliver Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Joel M. Everest Arbitrator(s): Richard A. Mosman, Terry F. Peppard, Donald N. Tolin Hearing Site: Des Moines, IA
| | Expungement |
13-02687 | 03/24/2015 | Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla Claimant Lawyers(s): Edward H. Glenn Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): William McC. Montgomery Arbitrator(s): Donald N. Tolin, Baldwin Ranson Hearing Site: Denver, CO
| | Expungement |
13-02973 | 07/03/2014 | Claimant(s): Dawn Lissy Claimant Lawyers(s): Dawn Lissy Respondent(s): Don DeYoung, UBS Financial Services Inc., Robert Hart, Scott Pann Respondent Lawyers(s): Jesse Linebaugh, Melissa M. Smith Arbitrator(s): Donald N. Tolin Hearing Site: Denver, CO
| | $0 |
11-04283 | 07/25/2013 | Claimant(s): Craig Bollman, Aristek Properties, Homefree Village Resorts., Monte Vista, Proteus Associates Claimant Lawyers(s): Jeffrey J. Scott, Richard J. Pocker Respondent(s): Marshall Blake, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Sarah R. Wolff Arbitrator(s): Richard M. Reider, Donald N. Tolin, Suanne M. Parro Hearing Site: Denver, CO
| | Expungement |
11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley Respondent(s): Dudley Probert, First Allied Securities. Respondent Lawyers(s): Jeffrey K. Compton Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson Hearing Site: Salt Lake City, UT
| | Expungement |
10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust Claimant Lawyers(s): Alan C. Friedberg Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson Hearing Site: Denver, CO
| | $0 |
10-02249 | 11/25/2011 | Claimant(s): Karen Trumper, Robert Trumper Claimant Lawyers(s): Joseph Wojciechowski Respondent(s): Dale Hall, Jeffrey Pridey, Kathleen Heshelow, Kent Pridey, Lawrence Lambert, Capwest Securities. Respondent Lawyers(s): H. Thomas Fehn Arbitrator(s): Donald N. Tolin, Helen P. Love, Bruce J. Pederson Hearing Site: Denver, CO
| | $557,500 |