| 21-01720 | 02/09/2023 | Claimant(s): C. Woodcock
Claimant Lawyers(s): David F. Olsky
Respondent(s): George McCaffrey, NTB Financial Corporation
Respondent Lawyers(s): Frank W. Visciano, George McCaffrey
Arbitrator(s): Mari C. Bush, Deanna M. Tuley
Hearing Site: Denver, CO
|  | $300,000 |
| 21-02686 | 11/18/2022 | Claimant(s): Jerome Destigter IRA
Claimant Lawyers(s): Daniel D'Costa
Respondent(s): Maxim Beliakov
Respondent Lawyers(s): Maxim Beliakov
Arbitrator(s): Deanna M. Tuley
Hearing Site: Omaha, NE
| | $0 |
| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
| | $165,000 |
| 18-02447 | 06/22/2021 | Claimant(s): Tupper Briggs
Claimant Lawyers(s): Jason J. Kane
Respondent(s): VSR Financial Services., Robert Burns, Summit Brokerage Services.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Deanna M. Tuley
Hearing Site: Denver, CO
| | Expungement |
| 19-02076 | 10/22/2020 | Claimant(s): Janice Alzado-Lotz
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Charles G. Michaels, Jo-Marie Lisa, Deanna M. Tuley
Hearing Site: Denver, CO
| | Dismissed |
| 19-03127 | 01/29/2020 | Claimant(s): Thomas Hallenbeck, Thomas Hallenbeck IRA
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Deanna M. Tuley
Hearing Site: Denver, CO
| | Dismissed |
| 17-01402 | 04/23/2019 | Claimant(s): Kathryn Montony, William Montony
Claimant Lawyers(s): Thomas J. Wolf
Respondent(s): Christopher Burtraw
Respondent Lawyers(s): Christopher Charles Burtraw
Arbitrator(s): Deanna M. Tuley
Hearing Site: Denver, CO
| | $500,000 |
| 16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013
Claimant Lawyers(s): Aaron Israels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 09-00320 | 04/30/2010 | Claimant(s): Eric Ely
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime L. Haggard
Arbitrator(s): Donald N. Tolin, Martha M. Walker, Deanna M. Tuley
Hearing Site: Denver, CO
| | |
| 07-00074 | 07/03/2008 | Claimant(s): Daryl Scheaffer, Jane Specketer, John Hartman, Leslie Davis, Linda Scheaffer, Paul Prymak, Ritchie Smith, Tedd Sabus, Anthony J. and Patricia A. Pisani, Christopher D. and Sandra M. Olson, Darrel W. and Vera J. Longley, Daryl and Linda Scheaffer, John and Lillian Prymak, Preston and Sheila Smith, Richard Brice & Paula Higgens-Brice, Robert and Brenda Daley, Robert and Evelyn Toro, Robert and Velva Weston, William E. and Toni A. Brock, Rev. Living Trust of Sammy J. Martinez
Claimant Lawyers(s): William R. Fishman
Respondent(s): Mutual Service Corporation, Contemporary Financial Solutions
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Susan M. Thevenet, Deanna M. Tuley, Patti Fellows Peters
Hearing Site: Denver, CO
| | $919,740 |
