| 18-03853 | 11/25/2019 | Claimant(s): John Winans
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Michael Fassi, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Holly Stein Sollod, Donald N. Tolin, Eric Moutz
Hearing Site: Denver, CO
|  | $0 |
| 13-00349 | 02/28/2014 | Claimant(s): Robert and Noel Dickson
Claimant Lawyers(s): James S. Helfrich
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Kirsten Patzer
Arbitrator(s): James Patrick Beck
Hearing Site: Denver, CO
| | $300 |
| 11-00666 | 03/28/2011 | Claimant(s): Albert Wood, Anne Solis, Gene Chantler, Gloria Roder, Lydia Wood, Mark Simmons, Matthew Fieber, Ronald Gonzales, Estate of Virginia Lasher
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Jeremy Hart
Respondent Lawyers(s): Jeremy Michael Hart
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | $6,961,430 |
| 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 |
| 09-03020 | 05/10/2010 | Claimant(s): Adam Lundquist, Barbara Czencz, Candice Pulliam, Carol Pulliam, Carol Wilson, David Kinard, David Minor, Dolores Ulrich, Donna Kinard, Gordon Lofshult, James Pardee, Jerry Pulliam, Joel Weissman, Julie Reese, Larry Spahr, Lindsey Morisse, Nancy Spahr, Patricia Richhart, Phyllis Lofshult, Richard Brown, et al
Claimant Lawyers(s): James S. Helfrich, Kevin Aoun
Respondent(s): Derek Kent
Respondent Lawyers(s): Derek R. Kent
Arbitrator(s): Bradford J. Lam
Hearing Site: Denver, CO
| | $933,000 |
| 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 |
| 07-01765 | 08/13/2008 | Claimant(s): Charles Westley, Mary Westley, Charles Ross Westley Life Ins. Revoc., Westley Living Trust
Claimant Lawyers(s): James S. Helfrich
Respondent(s): All-Vest Securities.
Respondent Lawyers(s): Richard Virzera
Arbitrator(s): Michelle D. Conklin, Thomas R. Bromberg, James Gary Fitch
Hearing Site: Denver, CO
| | $133,000 |
