| 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 |
| 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 |
| 18-00243 | 01/25/2019 | Claimant(s): Catherine Talman, Roger Talman, 1990 Talman Family Living Trust
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): Wells Fargo Clearing Services, Timothy Cusick
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Thaddeus J. Tecza, Mary C. Davis, Val D. Hornstein
Hearing Site: Salt Lake City, UT
| | Expungement |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
| 16-00394 | 05/23/2017 | Claimant(s): Interactive Brokers
Claimant Lawyers(s): Daniel A. Spector
Respondent(s): Todd Rinaldi
Respondent Lawyers(s): Todd Rinaldi
Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Jeffrey Thomas
Hearing Site: Denver, CO
| | $0 |
| 14-02935 | 12/22/2015 | Claimant(s): Bob Harman, Jack Harman, Kent Harman, Shelley Harman, Tamara Harman, Twila Harman
Claimant Lawyers(s): Joshua Sisam
Respondent(s): Wilson-Davis & Company.
Respondent Lawyers(s): Richard Ensor
Arbitrator(s): Mary C. Davis, Ann H. Nevers, Jennifer Robyn Korb
Hearing Site: Salt Lake City, UT
| | $0 |
| 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 |
| 13-00796 | 07/14/2014 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Allied Beacon Partners.
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Richard Djokic
Hearing Site: Denver, CO
| | $574,070 |
| 11-04494 | 12/24/2013 | Claimant(s): Steven Kolow
Claimant Lawyers(s): David E. Robbins
Respondent(s): Anthony Ottimo, Shazash Hossain, EKN Financial Services Inc.
Respondent Lawyers(s): Anthony Ottimo, Shazash Hossain, Thomas Giugliano
Arbitrator(s): Larry D. Hayden, Ronald G. Guida, Mary C. Davis
Hearing Site: Denver, CO
| | $932,500 |
| 11-03863 | 10/10/2013 | Claimant(s): Frances Salazar
Claimant Lawyers(s): Eric D. Norvell
Respondent(s): John Strange, Metlife Securities Inc.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): Barry H. Barnett, Mary C. Davis, Hazel E. Hanley
Hearing Site: Albuquerque, NM
| | $0 |
