| 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 |
| 09-06115 | 03/04/2011 | Claimant(s): John W Oughtred
Claimant Lawyers(s): Jason M. Kueser
Respondent(s): E*Trade Securities LLC, Stuart Torrey
Respondent Lawyers(s): Edward D. Totino
Arbitrator(s): Carl G. Mohr
Hearing Site: Denver, CO
| | Expungement |
| 09-06444 | 01/19/2011 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): Miles M. Gersh
Respondent(s): James Mitchell, John Guyette, Thomas Miller, Community Bankers Securities
Respondent Lawyers(s): James M. Mitchell, Jeffrey J. Scott, John Brady Guyette, Steven S. Biss
Arbitrator(s): James J. Moylan, Marc H. Schtul, Bradford J. Lam
Hearing Site: Denver, CO
| | $762,000 |
| 09-02939 | 01/07/2011 | Claimant(s): Roger Maurer, Shay Lindemann, Maurer and Associates Capital Management
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Kimon Peter Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Dennis R. Frohlich, Jerome C. Zackroff, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 09-06153 | 01/03/2011 | Claimant(s): Lawrence Gilmore
Claimant Lawyers(s): Thomas D. Birge
Respondent(s): Scott Brandt
Respondent Lawyers(s): Scott T. Brandt
Arbitrator(s): Joseph M. Costello, Steven Meyrich, J. Robert Brown
Hearing Site: Denver, CO
| | $141,370 |
| 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 |
| 09-05435 | 11/16/2010 | Claimant(s): Arlene McAdam, Charles McAdam
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Wachovia Securities, John Waite
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Skewes, Marilyn R. Lewis, Edward Allan Hindman
Hearing Site: Denver, CO
| | $100,300 |
| 09-04439 | 11/08/2010 | Claimant(s): Alice Potter
Claimant Lawyers(s): David Liebrader
Respondent(s): Clyde Benninghoff
Respondent Lawyers(s): Arthur I. Jacobs
Arbitrator(s): Susan M. Thevenet, Paul A. Krepinski, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $873,518 |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 09-06313 | 07/28/2010 | Claimant(s): James D. and Janet D. Cary
Claimant Lawyers(s): James D. Cary
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula McManus
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Denver, CO
| | $7,890 |
