| 18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs
Claimant Lawyers(s): Jason J. Kane
Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley
Hearing Site: Denver, CO
|  | Expungement |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
| | Expungement |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
| | Expungement |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings
Claimant Lawyers(s): Eric Liebman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher
Hearing Site: Denver, CO
| | $0 |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 19-02076 | 10/22/2020 | Claimant(s): Janice Alzado-Lotz
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Charles G. Michaels, Jo-Marie Lisa, Deanna M. Tuley
Hearing Site: Denver, CO
| | Dismissed |
| 20-00805 | 08/03/2020 | Claimant(s): John Prymak
Claimant Lawyers(s): John Prymak
Respondent(s): Joseph Kelly, Spartan Capital Securities
Respondent Lawyers(s): Joseph Kelly, Kim Monchik
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | $0 |
| 20-00041 | 06/04/2020 | Claimant(s): Bernard Elkon, Sallie Burn
Claimant Lawyers(s): Bernard Peter Elkon, Sallie D. Burn
Respondent(s): David Miller, Shelley Eddy, Peachcap Securities.
Respondent Lawyers(s): Gregg J. Breitbart
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Denver, CO
| | $300 |
| 18-01058 | 04/15/2020 | Claimant(s): David Mitton
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Peter Hardin
Arbitrator(s): Charles G. Michaels, Ronald G. Guida, Wendy P Rouder
Hearing Site: Denver, CO
| | $303,101 |
