| 12-01388 | 02/20/2014 | Claimant(s): C. Lewis, as Receiver
Claimant Lawyers(s): John A. Chanin
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Peter J. Macdonald
Arbitrator(s): Samuel E. Wing, Martha Wheatley Thomas, Daniel Francis Wake
Hearing Site: Denver, CO
|  | $0 |
| 13-01404 | 12/27/2013 | Claimant(s): Elizabeth Duncan, Robert Duncan
Claimant Lawyers(s): David A. Zisser
Respondent(s): Sammons Securities Company
Respondent Lawyers(s): Ryan Probstfeld
Arbitrator(s): Samuel E. Wing, Thaddeus J. Tecza, Ronald L. Lantz
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
| 11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
| | |
| 11-02075 | 10/09/2012 | Claimant(s): Leprino Foods Company
Claimant Lawyers(s): Michael G. Martin
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): Samuel E. Wing, Melissa Dawn Hubbard, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
| 11-02340 | 09/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Michael Rooms
Respondent Lawyers(s): Michael Antoine Rooms
Arbitrator(s): Martin Mandel, Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 11-02656 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Deverich
Respondent Lawyers(s): Michael Lee Deverich
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 09-02725 | 06/03/2010 | Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
| | $0 |
| 09-02996 | 05/03/2010 | Claimant(s): Wedbush Morgan Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 08-01361 | 02/03/2010 | Claimant(s): Michael Bond and Margaret Bond
Claimant Lawyers(s): Garry R. Appel
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $244,300 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
