| 16-02943 | 04/05/2017 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | |
| 16-00542 | 01/19/2017 | Claimant(s): Lisa Parmerlee
Claimant Lawyers(s): Gail E Boliver
Respondent(s): Donald Dewaay, Dewaay Financial Network
Respondent Lawyers(s): Donald Gene Dewaay, Robie Howe
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
|  | $337,000 |
| 16-01204 | 10/21/2016 | Claimant(s): Orthotek Inc.
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Anthony Minerva, Matthew DiGregorio, J.D. Nicholas & Associates.
Respondent Lawyers(s): Anthony Minerva, James Dolan, Matthew DiGregorio
Arbitrator(s): Richard Djokic
Hearing Site: Des Moines, IA
| | $30,005 |
| 14-02979 | 05/12/2016 | Claimant(s): Diana Stephens, Greg Stephens
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Douglas Veitch, Jason Anderson
Respondent Lawyers(s): Douglas Stuart Veitch, Jason Edward Anderson
Arbitrator(s): Steve A. Miller, Richard Djokic, Thomas R. Bromberg
Hearing Site: Denver, CO
| | $96,000 |
| 12-04087 | 07/30/2014 | Claimant(s): Willie Benning
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Arnold Montano, Cambridge Investment Research Advisors, Cambridge Investment Research., Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Jonathan M. Sterling, Sam Y. Edgerton
Arbitrator(s): Patrick J. Halter, Harvey W Gordon, Richard Djokic
Hearing Site: Albuquerque, NM
| | $243,510 |
| 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 |
| 11-04247 | 01/10/2014 | Claimant(s): Scott Stephens, Tanya Stephens, S.Stephens next friend Conner Stephens, Wilbert J. Stephens, Jr Testamentary, Jr. Testamentary
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Philip P. Rummel, Walter J. Wylie, Richard Djokic
Hearing Site: New Orleans, LA
| | $290,999 |
| 11-04019 | 10/22/2013 | Claimant(s): Jason Duhon
Claimant Lawyers(s): William M. Fontenot
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric D. Raphan
Arbitrator(s): Robert O. Halbert, Thomas L. Dueber, Richard Djokic
Hearing Site: Salt Lake City, UT
| | |
| 11-03792 | 12/18/2012 | Claimant(s): Patricia Tanner
Claimant Lawyers(s): Timothy Tanner
Respondent(s): Albert Alvey, Brian Horne, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Albert Clark Alvey, Brian Young Horne, Kevin Dee Kunz, Kevin Kunz
Arbitrator(s): Richard Djokic
Hearing Site: Salt Lake City, UT
| | $73,185 |
| 11-01138 | 12/12/2012 | Claimant(s): William Mulvey
Claimant Lawyers(s): William James Mulvey
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Helen E. Tuttle
Arbitrator(s): William F. Skewes, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Salt Lake City, UT
| | |
