Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 22-01207 | 11/11/2024 | Claimant(s): Birchwood Resources., Detroit Street Partners. Claimant Lawyers(s): Jason J. Kane Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Ronald J. Tomassi Arbitrator(s): Richard J. Lawrence, Mark J. Loewenstein, Robert M. Fusfeld Hearing Site: Denver, CO |  | Expungement |
| 23-03601 | 10/31/2024 | Claimant(s): Richard Treat Claimant Lawyers(s): Matthew N. Thibaut Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Justin Sacca Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO | | $0 |
| 22-01398 | 10/23/2024 | Claimant(s): Daniel Simon Claimant Lawyers(s): Kalju Nekvasil Respondent(s): John Schlagheck Respondent Lawyers(s): John Francis Schlagheck Arbitrator(s): Leonard M. Goldstein, Dennis C Moore, Craig Zofchak Hearing Site: Denver, CO | | $122,402 |
| 22-01477 | 08/26/2024 | Claimant(s): Brad Vermilyea Claimant Lawyers(s): David W. Miller Respondent(s): Interactive Brokers LLC Respondent Lawyers(s): Katherine L. Schuerman Arbitrator(s): Mary C. Davis, Joshua Joseph Paiva, Lynda Riebel Hearing Site: Denver, CO | | $117,557 |
| 22-02250 | 06/13/2024 | Claimant(s): Daniel Voigt, Lauren Voigt Claimant Lawyers(s): Daniel Voigt Respondent(s): Lion Street Financial Respondent Lawyers(s): Max C. Rudolf Arbitrator(s): Ilene T. Gormly, Andrew Barton, Robert Lee Walters Hearing Site: Denver, CO | | Expungement |
| 21-02684 | 04/17/2024 | Claimant(s): Steve Kramer Claimant Lawyers(s): Brandon Dei Respondent(s): Michael Finnan, Morgan Wilshire Securities. Respondent Lawyers(s): Michael John Finnan Arbitrator(s): Kendall C. Reed, Rick Gale Doty, Kimberly Johnson Hearing Site: Denver, CO | | Dismissed by Rule 12212©&12511(b) |
| 22-02847 | 04/05/2024 | Claimant(s): Lorenzo Bettino Claimant Lawyers(s): Samuel B. Edwards Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): David L. Goldberg Arbitrator(s): Herbert Liberman, Paul E. Dahlman, John (Jack) Louis Neveaux Hearing Site: Denver, CO | | $0 |
| 23-02074 | 03/28/2024 | Claimant(s): Ann Stewart Claimant Lawyers(s): Christopher Lufrano Respondent(s): Parkland Securities Respondent Lawyers(s): Irit Walters Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO | | Dismissed by Rule 12206 |
| 23-02242 | 02/12/2024 | Claimant(s): Jonathan Socha Claimant Lawyers(s): Jonathan Socha Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Rebecca Swenson Arbitrator(s): Andrew M. Mintzer Hearing Site: Denver, CO | | $0 |
| 22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC Claimant Lawyers(s): Michele R. Underwood Respondent(s): Timothy Worley Respondent Lawyers(s): Timothy Worley Arbitrator(s): Leonard Arthur Nelson Hearing Site: Denver, CO | |