| 17-01401 | 11/07/2018 | Claimant(s): Margo Norman
Claimant Lawyers(s): Jonathan Stein
Respondent(s): Jack Woodward, Raymond, James & Associates.
Respondent Lawyers(s): Bertrand C. Moser, Gianluca Morello
Arbitrator(s): Jo-Marie Lisa, Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
|  | Expungement |
| 17-01857 | 09/05/2018 | Claimant(s): IRA of Jonathan M. Seltzer, IRA of Susan O. Seltzer, SEP IRA of Jonathan M. Seltzer, Rev Trust of Jonathan M. Seltzer, Rev Trust of Susan O. Seltzer
Claimant Lawyers(s): Jonathan and Susan Seltzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen Bright
Arbitrator(s): Ilene T. Gormly, Tina Alison Davis, Rick Gale Doty
Hearing Site: Denver, CO
| | $0 |
| 17-00336 | 07/19/2018 | Claimant(s): Thomas Wolf
Claimant Lawyers(s): Glenn W. Merrick
Respondent(s): Omega Wireless
Respondent Lawyers(s): Timothy R. Beyer
Arbitrator(s): William F. Skewes, Patricia M. Bottoms, Tina Alison Davis
Hearing Site: Denver, CO
| | $0 |
| 16-00012 | 06/20/2018 | Claimant(s): Robert Hernreich, R. Hernreich 1987 Family Trust, R. Hernreich Charitable Remainder Trst 1, R. Hernreich Charitable Remainder Trst 2, R. Hernreich Charitable Remainder Trst 3, R. Hernreich Charitable Remainder Trst 4, R. Hernreich Charitable Remainder Trst 5, Robert E. Hernreich 2005 Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Hazel E. Hanley
Hearing Site: Denver, CO
| | Expungement |
| 17-02758 | 05/18/2018 | Claimant(s): Paul Garrett
Claimant Lawyers(s): Daniel B. Meyer
Respondent(s): Elaine Andreas, Lamoine Andreas
Respondent Lawyers(s): Lamoine (Lee) Andreas
Arbitrator(s): Michael S. Matek, William A. Stephenson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 16-00101 | 05/08/2018 | Claimant(s): Carolyn Hunt-Monro
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Ronald G. Guida
Hearing Site: Denver, CO
| | Expungement |
| 17-01628 | 04/09/2018 | Claimant(s): James Myers
Claimant Lawyers(s): James O. Myers
Respondent(s): Yosef Fox
Respondent Lawyers(s): Yosef Yehuda Fox
Arbitrator(s): Steven Meyrich, Hazel E. Hanley, Jeffrey Thomas
Hearing Site: Denver, CO
| | $125,000 |
| 16-02576 | 03/07/2018 | Claimant(s): Gerald Sharman
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): Morgan Stanley, Richard Shalhoub
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Lisa Bass Morris, Andrew Barton, Scott Gammel
Hearing Site: Denver, CO
| | $0 |
| 16-03342 | 02/23/2018 | Claimant(s): Karen Johnston
Claimant Lawyers(s): Aaron Israels
Respondent(s): Phillip Mekas, Thomas Brenner, First American Securities.
Respondent Lawyers(s): Booker T. Coleman, Joseph H. Spiegel, Thomas Brenner
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | Expungement |
| 14-03350 | 02/15/2018 | Claimant(s): Marvin Powell, Shawna Powell
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Aaron Wilbanks, Randall Wilbanks, Steven Sharpe, Will Freeman, Wilbanks Securities.
Respondent Lawyers(s): Jeffrey R. Thomas, Russell Bean
Arbitrator(s): Charles G. Michaels, Steven M. Feder, Carol L. Roslund
Hearing Site: Denver, CO
| | $1,378,000 |
