| 13-02973 | 07/03/2014 | Claimant(s): Dawn Lissy
Claimant Lawyers(s): Dawn Lissy
Respondent(s): Don DeYoung, UBS Financial Services Inc., Robert Hart, Scott Pann
Respondent Lawyers(s): Jesse Linebaugh, Melissa M. Smith
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
|  | $0 |
| 13-03081 | 04/01/2014 | Claimant(s): Amin Dabit
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 11-04283 | 07/25/2013 | Claimant(s): Craig Bollman, Aristek Properties, Homefree Village Resorts., Monte Vista, Proteus Associates
Claimant Lawyers(s): Jeffrey J. Scott, Richard J. Pocker
Respondent(s): Marshall Blake, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah R. Wolff
Arbitrator(s): Richard M. Reider, Donald N. Tolin, Suanne M. Parro
Hearing Site: Denver, CO
| | Expungement |
| 11-04785 | 05/29/2013 | Claimant(s): Julie Haupt, Robert Haupt, Julie Haupt IRA, Julie Haupt Roth IRA, Robert Haupt IRA, Robert Haupt Roth IRA, Robert K. Haupt Family Revocable Trust
Claimant Lawyers(s): Ronald E. Miller, Thomas C. Bradley
Respondent(s): Dudley Probert, First Allied Securities.
Respondent Lawyers(s): Jeffrey K. Compton
Arbitrator(s): Donald N. Tolin, Suanne M. Parro, David L. Erickson
Hearing Site: Salt Lake City, UT
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 11-03333 | 07/11/2012 | Claimant(s): Beth Du Toit
Claimant Lawyers(s): Beth DuToit
Respondent(s): CIM Securities.
Respondent Lawyers(s): Andrew I. Friedman
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 10-02249 | 11/25/2011 | Claimant(s): Karen Trumper, Robert Trumper
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Dale Hall, Jeffrey Pridey, Kathleen Heshelow, Kent Pridey, Lawrence Lambert, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Donald N. Tolin, Helen P. Love, Bruce J. Pederson
Hearing Site: Denver, CO
| | $557,500 |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
| | $500,000 |
| 09-00320 | 04/30/2010 | Claimant(s): Eric Ely
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime L. Haggard
Arbitrator(s): Donald N. Tolin, Martha M. Walker, Deanna M. Tuley
Hearing Site: Denver, CO
| | |
