| 16-02377 | 01/23/2017 | Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
|  | $300 |
| 16-02292 | 12/20/2016 | Claimant(s): Sheila Masley
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Peter Roe
Respondent Lawyers(s): Jonathan R. Reich
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $300 |
| 16-01900 | 11/02/2016 | Claimant(s): Jeffrey Owen Roth IRA, Wendy Heywood Roth IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Michelle M. Atlas
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $0 |
| 14-01468 | 05/19/2015 | Claimant(s): Lynda Richardson
Claimant Lawyers(s): Amedeo Greco
Respondent(s): Morgan Stanley, Paul Shoemaker, Sandra Murri Johnson
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): James B. Eichberg, Paul E. Dahlman, J. Robert Brown
Hearing Site: Salt Lake City, UT
| | $25,000 |
| 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 |
| 14-01128 | 10/01/2014 | Claimant(s): David Pihlgren
Claimant Lawyers(s): David Pihlgren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $0 |
| 12-02652 | 09/06/2013 | Claimant(s): Irene Resnick, U/A DTD 7/2/91 by Irene Resnick
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | Expungement |
| 12-01793 | 05/02/2013 | Claimant(s): Donald Soards
Claimant Lawyers(s): Donald E. Soards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): James B. Eichberg, Ronald G. Guida, David L. Erickson
Hearing Site: Albuquerque, NM
| | $0 |
| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
| | Expungement |
| 11-00127 | 12/14/2011 | Claimant(s): Darleen Simpson, Norbert Simpson
Claimant Lawyers(s): Thomas J. Wolf
Respondent(s): Michael Abraham
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): James B. Eichberg, Ronald G. Guida, Hazel E. Hanley
Hearing Site: Denver, CO
| | $0 |
