| 21-01804 | 10/28/2022 | Claimant(s): Steven Brown
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Worden Capital Management LLC, Jamie Worden
Respondent Lawyers(s): Jaime Worden
Arbitrator(s): Stanley H. Michelstetter
Hearing Site: Rapid City, SD
|  | $68,263 |
| 16-03605 | 08/24/2018 | Claimant(s): Kathy Wookey, Thomas Wookey
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): John Lowry, Robert Murray, Spartan Capital Securities, Llc
Respondent Lawyers(s): Liam O'Brien
Arbitrator(s): Paul H. Lamboley, Danielle L. Anderson, Dee Maresso-Newell
Hearing Site: Rapid City, SD
| | $330,425 |
| 15-02692 | 04/08/2016 | Claimant(s): Lary Bocquin
Claimant Lawyers(s): Lary J. Bocquin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory Scanlon
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
| | $425 |
| 13-03106 | 10/23/2014 | Claimant(s): Rose M. Dodge
Claimant Lawyers(s): Rose M. Dodge
Respondent(s): Aron Martz
Respondent Lawyers(s): John Rock
Arbitrator(s): Terry F. Peppard
Hearing Site: Rapid City, SD
| | $0 |
| 10-03402 | 06/02/2014 | Claimant(s): Robert Schulte, Midwest Sales Inc.
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): Morgan Wilshire Securities.
Respondent Lawyers(s): Robert I Rabinowitz
Arbitrator(s): P. J. Boylan
Hearing Site: Rapid City, SD
| | $0 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 10-02047 | 12/16/2010 | Claimant(s): Michael Lees
Claimant Lawyers(s): Michael A Lees
Respondent(s): Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Michael Finnan, Richard Douglas Pollan
Arbitrator(s): William B. Ross
Hearing Site: Rapid City, SD
| | $764 |
| 05-04974 | 11/14/2007 | Claimant(s): Jennifer Jensen, Jody Jensen
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): Spectrum Capital.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Emily B. Boote, Scott R. Jensen, Sandra L. Shearer
Hearing Site: Rapid City, SD
| | $20,000 |
