11-02575 | 07/17/2012 | Claimant(s): Michael Higgins Claimant Lawyers(s): Mannie Kalman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Debra Brothers Self, Richard Djokic, Kenneth Harry Combs Hearing Site: Albuquerque, NM
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10-02406 | 06/29/2012 | Claimant(s): David Schanin, Susan Schanin Claimant Lawyers(s): Stuart Pack Respondent(s): Katherine Larsen, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Ronald D. Smith Arbitrator(s): Federico C. Alvarez, Kenneth Harry Combs, Baldwin Ranson Hearing Site: Denver, CO
| | Expungement |
09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II Claimant Lawyers(s): Alan C. Friedberg Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs Hearing Site: Denver, CO
| | $62,125 |