| 17-00225 | 12/18/2017 | Claimant(s): Jon Springer
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Jeremy Carr
Arbitrator(s): Charles G. Michaels
Hearing Site: Omaha, NE
| | |
| 16-02924 | 09/20/2017 | Claimant(s): Raymond Gibb, IRA FBO Raymond L Gibb Pershing LLC, Pershing Cust FBO Raymond L Gibb IRA
Claimant Lawyers(s): Patricia L. Vannoy
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Charles G. Michaels, Ken L. Andersen, Ryan Douglas Horner
Hearing Site: Omaha, NE
|  | $0 |
| 16-00120 | 11/03/2016 | Claimant(s): Candice Hutton
Claimant Lawyers(s): Candice Joy Hutton
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): John S. Lutz, Charles G. Michaels, Suanne M. Parro
Hearing Site: Denver, CO
| | |
| 15-02946 | 08/18/2016 | Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H. Black
Respondent(s): Craig Sorenson, Troy West
Respondent Lawyers(s): David von Gunten, Paul R. McMenamin
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | |
| 15-02021 | 07/07/2016 | Claimant(s): Florence Natelson
Claimant Lawyers(s): Frank W. Visciano
Respondent(s): William Hennion, Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch, Stefanie M. Wayco
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $155,935 |
| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 13-03408 | 02/26/2015 | Claimant(s): Lawrence Hake
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Charles G. Michaels, Suanne M. Parro, Margaret Ann Barrington
Hearing Site: Denver, CO
| | $0 |
| 13-01579 | 12/04/2014 | Claimant(s): James Young
Claimant Lawyers(s): Brian J. Neville
Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn
Hearing Site: Denver, CO
| | Expungement |
| 13-02525 | 12/04/2014 | Claimant(s): Jean Schott
Claimant Lawyers(s): Matthew S. Rork
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Mary C. Davis
Hearing Site: Denver, CO
| | $120,000 |
| 13-00194 | 07/11/2014 | Claimant(s): Jennifer Figge
Claimant Lawyers(s): Rand S. Wonio
Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz
Hearing Site: Denver, CO
| | $0 |
