| 21-01196 | 11/29/2022 | Claimant(s): Edward Abrams, Hildie Abrams, Edward Abrams IRA, Hildie Abrams IRA
Claimant Lawyers(s): Edward Adams
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Rebecca Sone O'Rourke
Hearing Site: Denver, CO
|  | Expungement |
| 20-01801 | 08/26/2021 | Claimant(s): Carl Williams, Debra Williams
Claimant Lawyers(s): Debra R. Williams
Respondent(s): David Cooper, Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
| | Expungement |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 20-01355 | 11/24/2020 | Claimant(s): Mike Spencer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Charles G. Michaels
Hearing Site: Wichita, KS
| | |
| 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 |
| 18-01679 | 06/29/2020 | Claimant(s): Stephen Schroeder
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Blake Kiernan
Respondent Lawyers(s): Blake H. Kiernan
Arbitrator(s): Mark L Miller, Charles G. Michaels, Robert Elman
Hearing Site: Omaha, NE
| | $69,550 |
| 18-01058 | 04/15/2020 | Claimant(s): David Mitton
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Peter Hardin
Arbitrator(s): Charles G. Michaels, Ronald G. Guida, Wendy P Rouder
Hearing Site: Denver, CO
| | $303,101 |
| 18-04374 | 12/11/2019 | Claimant(s): Jack Harvey, Jeannie Kaess
Claimant Lawyers(s): Jeannie Kaess
Respondent(s): Edwin Balmer, Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 18-02508 | 11/26/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Despard
Respondent Lawyers(s): William Roy Despard
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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