| 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
| | |
| 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 |
