| 14-00876 | 06/02/2015 | Claimant(s): Lydia Custer, Roger Custer
Claimant Lawyers(s): Clark L. Davidson, Martha Bonin
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Steven M. Feder
Hearing Site: Denver, CO
|  | Dismissed by Rule 12206 |
| 12-03079 | 05/22/2015 | Claimant(s): Marian Sanders
Claimant Lawyers(s): Phillip S. Wong
Respondent(s): Adam Ohair, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Martin Mandel, Steven Meyrich, Ford H. Wheatley
Hearing Site: Denver, CO
| | Expungement |
| 13-02687 | 03/24/2015 | Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Donald N. Tolin, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 14-00830 | 03/16/2015 | Claimant(s): Brian Gurinsky
Claimant Lawyers(s): Paul Vorndran
Respondent(s): Pershing LLC, Shareholders Service Group.
Respondent Lawyers(s): Daniel F. Shea, Jeffrey S. Kob
Arbitrator(s): William F. Skewes, Steven Meyrich, Stephen Kirk Ingebretsen
Hearing Site: Denver, CO
| | $0 |
| 13-03408 | 02/26/2015 | Claimant(s): Lawrence Hake
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Charles G. Michaels, Suanne M. Parro, Margaret Ann Barrington
Hearing Site: Denver, CO
| | $0 |
| 14-00635 | 02/06/2015 | Claimant(s): Julie Schmidt
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black, Frank Harmon Black
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $52,152 |
| 14-02776 | 01/27/2015 | Claimant(s): Devon Still, Orlando Franklin
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Jinesh Brahmbhatt
Respondent Lawyers(s): Jinesh Pravin Brahmbhatt
Arbitrator(s): David L. Erickson
Hearing Site: Denver, CO
| | $1,413,500 |
| 13-01311 | 01/13/2015 | Claimant(s): Devon Still, Orlando Franklin
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Fuad Ahmed, Nainesh Brahmbhatt, Ramnik Aulakh, BP Trade., Success Trade Securities., Success Trade.
Respondent Lawyers(s): Nainesh Mahesh Brahmbhatt, Ramnik Singh Aulakh, William Cavett "Skee" Saacke
Arbitrator(s): Thaddeus J. Tecza, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | Stipulated Award |
| 13-02525 | 12/04/2014 | Claimant(s): Jean Schott
Claimant Lawyers(s): Matthew S. Rork
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Mary C. Davis
Hearing Site: Denver, CO
| | $120,000 |
| 13-02321 | 11/13/2014 | Claimant(s): Laurie Miranda
Claimant Lawyers(s): Scott Gelman
Respondent(s): Craig Maxey, Moloney Securities Co..
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Edward F. Siegel, J. Robert Brown, Elaine Frances Brown
Hearing Site: Denver, CO
| | $273,119 |
