| 19-01228 | 11/04/2019 | Claimant(s): Peter Tedstrom
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 18-04185 | 10/03/2019 | Claimant(s): James O'Leary
Claimant Lawyers(s): Jeffrey S. Greenhaus
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 19-00286 | 09/18/2019 | Claimant(s): Robert Schwarz
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 19-00125 | 09/09/2019 | Claimant(s): Brian Luther
Claimant Lawyers(s): Megan S. Wright
Respondent(s): National Planning Corporation
Respondent Lawyers(s): Scott R. Forbush
Arbitrator(s): Thomas F. Mahoney, Charles G. Michaels, Bryan L. Johnson
Hearing Site: Omaha, NE
| | |
| 18-03999 | 08/22/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A La Porta
Respondent(s): Randolph George
Respondent Lawyers(s): Randolph William George
Arbitrator(s): Martin M. Berliner, Charles G. Michaels, Robert Burns Logan
Hearing Site: Denver, CO
| | |
| 18-04377 | 08/13/2019 | Claimant(s): John Venable
Claimant Lawyers(s): Michael Bessette
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 16-00354 | 11/26/2018 | Claimant(s): C & S Whitmore Living Trust, Chad & Susan Whitmore, TTEEs
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Charles G. Michaels, Ruth M. Moore, Dennis C Moore
Hearing Site: Denver, CO
|  | $950,752 |
| 16-00012 | 06/20/2018 | Claimant(s): Robert Hernreich, R. Hernreich 1987 Family Trust, R. Hernreich Charitable Remainder Trst 1, R. Hernreich Charitable Remainder Trst 2, R. Hernreich Charitable Remainder Trst 3, R. Hernreich Charitable Remainder Trst 4, R. Hernreich Charitable Remainder Trst 5, Robert E. Hernreich 2005 Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Hazel E. Hanley
Hearing Site: Denver, CO
| | Expungement |
| 16-03342 | 02/23/2018 | Claimant(s): Karen Johnston
Claimant Lawyers(s): Aaron Israels
Respondent(s): Phillip Mekas, Thomas Brenner, First American Securities.
Respondent Lawyers(s): Booker T. Coleman, Joseph H. Spiegel, Thomas Brenner
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | Expungement |
| 14-03350 | 02/15/2018 | Claimant(s): Marvin Powell, Shawna Powell
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Aaron Wilbanks, Randall Wilbanks, Steven Sharpe, Will Freeman, Wilbanks Securities.
Respondent Lawyers(s): Jeffrey R. Thomas, Russell Bean
Arbitrator(s): Charles G. Michaels, Steven M. Feder, Carol L. Roslund
Hearing Site: Denver, CO
| | $1,378,000 |
