| 12-01388 | 02/20/2014 | Claimant(s): C. Lewis, as Receiver
Claimant Lawyers(s): John A. Chanin
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Peter J. Macdonald
Arbitrator(s): Samuel E. Wing, Martha Wheatley Thomas, Daniel Francis Wake
Hearing Site: Denver, CO
|  | $0 |
| 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 |
| 13-01404 | 12/27/2013 | Claimant(s): Elizabeth Duncan, Robert Duncan
Claimant Lawyers(s): David A. Zisser
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Samuel E. Wing, Thaddeus J. Tecza, Ronald L. Lantz
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
| 11-04494 | 12/24/2013 | Claimant(s): Steven Kolow
Claimant Lawyers(s): David E. Robbins
Respondent(s): Anthony Ottimo, Shazash Hossain, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Shazash Hossain, Thomas Giugliano
Arbitrator(s): Larry D. Hayden, Ronald G. Guida, Mary C. Davis
Hearing Site: Denver, CO
| | $932,500 |
| 12-01775 | 11/12/2013 | Claimant(s): Siegfried Mayer
Claimant Lawyers(s): Siegfried Mayer
Respondent(s): Brian Weinberg, Jeffrey Jones, Synergy Investment Group
Respondent Lawyers(s): Baruch Gottesman, Ian J. Frimet
Arbitrator(s): Martin Mandel
Hearing Site: Denver, CO
| | $25,000 |
| 13-00536 | 09/23/2013 | Claimant(s): Nora Parker
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Joe Birkinbine, United Securities Alliance.
Respondent Lawyers(s): James J. Moylan, Michael Jones
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Denver, CO
| | $59,093 |
| 12-02652 | 09/06/2013 | Claimant(s): Irene Resnick, U/A DTD 7/2/91 by Irene Resnick
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | Expungement |
| 12-02944 | 07/31/2013 | Claimant(s): Mary Power
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | Expungement |
| 11-04366 | 07/26/2013 | Claimant(s): Marcia Steinmann
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | Expungement |
| 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 |
