| 19-02577 | 08/10/2023 | Claimant(s): K&S Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Gary Nemer, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green
Hearing Site: Denver, CO
|  | $0 |
| 23-00608 | 08/07/2023 | Claimant(s): Michael Trotter
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): John Lowry, John Winter, Kenneth Casey, Kim Monchik, Louis Ward, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Michael Winter, Kenneth Francis Casey
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson
Claimant Lawyers(s): Paul L. Vorndran
Respondent(s): Stifel, Nicolaus & Co.., Randall Minas
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 21-02625 | 05/30/2023 | Claimant(s): Jeanette Long
Claimant Lawyers(s): Michael Melito
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson
Hearing Site: Denver, CO
| | Expungement |
| 21-01720 | 02/09/2023 | Claimant(s): C. Woodcock
Claimant Lawyers(s): David F. Olsky
Respondent(s): George McCaffrey, NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano, George McCaffrey
Arbitrator(s): Mari C. Bush, Deanna M. Tuley
Hearing Site: Denver, CO
| | $300,000 |
| 22-01856 | 01/05/2023 | Claimant(s): Justin Young
Claimant Lawyers(s): Justin N Young
Respondent(s): Webull Financial Llc
Respondent Lawyers(s): Benjamin D. Cooper
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | $0 |
| 21-01196 | 11/29/2022 | Claimant(s): Edward Abrams, Hildie Abrams, Edward Abrams IRA, Hildie Abrams IRA
Claimant Lawyers(s): Edward Adams
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Rebecca Sone O'Rourke
Hearing Site: Denver, CO
| | Expungement |
| 20-00383 | 11/22/2022 | Claimant(s): Carol Sorensen, Richard Paine, Stephen Sorensen
Claimant Lawyers(s): Philip L. Vujanov
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Jonathan B. Gilbert, Andrew Barton, Brian Luther
Hearing Site: Denver, CO
| | Expungement |
| 22-00315 | 09/01/2022 | Claimant(s): Tina Huston
Claimant Lawyers(s): Tina Huston
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | $0 |
| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
| | Expungement |
