| 13-00194 | 07/11/2014 | Claimant(s): Jennifer Figge
Claimant Lawyers(s): Rand S. Wonio
Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz
Hearing Site: Denver, CO
|  | $0 |
| 12-04043 | 06/13/2014 | Claimant(s): Carol Eckerman, Ronald Eckerman, Carol J. Eckerman Trust
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Patricia Monat, Monat Financial Services, Monat Wealth Management, SII Investments.
Respondent Lawyers(s): Heidi E. VonderHeide
Arbitrator(s): Evonne A. Hurst, Bruce Brown, Alain Frecon
Hearing Site: Des Moines, IA
| | Expungement |
| 11-03091 | 01/08/2014 | Claimant(s): Dennis Morphew, Vicki Morphew
Claimant Lawyers(s): Dennis Morphew
Respondent(s): Charles Childs, Joshua Suter, Lynn Koczera, Blue Moon Financial, Nomlis
Respondent Lawyers(s): Daniel J. Levin
Arbitrator(s): Dennis Dowd, Bruce Brown, Robert M. Fusfeld
Hearing Site: Denver, CO
| | Expungement |
| 11-00792 | 07/16/2012 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank N.A.
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Morgan Stanley, Timothy Soderquist
Respondent Lawyers(s): J. Scott Paul, John S. Lutz
Arbitrator(s): Bruce Brown, Edward F. Altman, Richard Djokic
Hearing Site: Denver, CO
| | |
| 10-02253 | 03/27/2012 | Claimant(s): ICON Advisers., ICON Management & Research Corporation, Icon Distributors.
Claimant Lawyers(s): Bradford J. Lam, Donald Salcito
Respondent(s): Craig Callahan, Stephen Holmes, Adviser Dealer Services., Meeder Asset Management., Meeder Financial.
Respondent Lawyers(s): Darren Nadel, Derek Anderson, Stephen Abrams
Arbitrator(s): Bruce Brown, Edward F. Altman, Hazel E. Hanley
Hearing Site: Denver, CO
| | |
| 11-00935 | 09/29/2011 | Claimant(s): Lois Moser, Royce Moser
Claimant Lawyers(s): Royce Moser
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Bruce Brown
Hearing Site: Salt Lake City, UT
| | $362 |
| 09-06394 | 11/18/2010 | Claimant(s): David Earl, Estate of Sophie H. Bebb
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Morgan Stanley & Co., Nancy Mercado
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Bruce Brown, Daniel E. Wright, Hazel E. Hanley
Hearing Site: Denver, CO
| | $300 |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 09-02338 | 06/30/2010 | Claimant(s): Sally Frederick
Claimant Lawyers(s): D. Elizabeth Wills
Respondent(s): Donald Hartmann, Michael Abraham, Hallmark Consulting Group., JRL Capital Corporation
Respondent Lawyers(s): Daniel D. White, Sylvia M. Scott
Arbitrator(s): Thaddeus J. Tecza, Bruce Brown, Gregory P. Lembree
Hearing Site: Denver, CO
| | $195,132 |
| 08-04049 | 06/04/2010 | Claimant(s): Christianson, Norman & Ellen
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch
Hearing Site: Denver, CO
| | $247,557 |
