| 11-02575 | 07/17/2012 | Claimant(s): Michael Higgins
Claimant Lawyers(s): Mannie Kalman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Debra Brothers Self, Richard Djokic, Kenneth Harry Combs
Hearing Site: Albuquerque, NM
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| 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
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| 10-03482 | 01/13/2012 | Claimant(s): Jim Clamp, Susan Stewart, Clamp Investment Properties, Stewart Investment Properties
Claimant Lawyers(s): William D. Nelson
Respondent(s): Gregory Fulton
Respondent Lawyers(s): Steven W. McDonald
Arbitrator(s): James J. Moylan, Avery B. Goodman, Richard Djokic
Hearing Site: Denver, CO
|  | $700,600 |
| 10-03465 | 06/15/2011 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Richard Djokic
Hearing Site: Albuquerque, NM
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| 07-02336 | 06/13/2008 | Claimant(s): Mount Yale Securities, Yale Portfolio Advisors
Claimant Lawyers(s): Sven C. Collins
Respondent(s): Glenda Pemble
Respondent Lawyers(s): William Nelson
Arbitrator(s): Jonathan H. Larson, Michael A. Ruderman, Richard Djokic
Hearing Site: Denver, CO
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