| 20-02181 | 06/07/2022 | Claimant(s): Michael Flick
Claimant Lawyers(s): Steven G. Legum
Respondent(s): Gary Demetri
Respondent Lawyers(s): Gary P. Demetri
Arbitrator(s): Jonathan H. Krotinger, Kathy A. Tatone, Thomas R. Bromberg
Hearing Site: Bismarck, ND
|  | $0 |
| 19-02374 | 03/07/2022 | Claimant(s): J. Leland Langston
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Donald N. Tolin, Thomas R. Bromberg, Julie Judith Lurman Joly
Hearing Site: Denver, CO
| | Expungement |
| 20-04158 | 10/26/2021 | Claimant(s): Diedre Conover, Mark Conover, Diedre Conover IRA, Mark Conover IRA
Claimant Lawyers(s): Kirk Smith
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Langdon T. Owen, Rick L. Knuth, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
| 21-01008 | 05/07/2021 | Claimant(s): Dan Burns, Dawn Burns
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Kevin Nevin, Trevor Gordan, Sandlapper Securities
Respondent Lawyers(s): Kevin Mark Nevin, Trevor Lee Gordan, Trevor Gordon
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Omaha, NE
| | $1,557,170 |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 17-00452 | 07/20/2018 | Claimant(s): Andres Romero
Claimant Lawyers(s): David Neuman
Respondent(s): Legend Securities.
Respondent Lawyers(s): Salvatore C. Caruso
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Albuquerque, NM
| | $48,266 |
| 16-00512 | 07/24/2017 | Claimant(s): John Keck, Kathleen Keck
Claimant Lawyers(s): Patrick J. Crank
Respondent(s): Bryan Pedersen, Jacqueline Georgio Westover, Paul Howard, RBC Capital Markets LLC
Respondent Lawyers(s): Adrian P. Castro, John S. Lutz
Arbitrator(s): Larry D. Hayden, Richard Djokic, Thomas R. Bromberg
Hearing Site: Cheyenne, WY
| | $559,612 |
| 15-03423 | 12/20/2016 | Claimant(s): Norman Rupp
Claimant Lawyers(s): David Neuman
Respondent(s): Newport Coast Securities.
Respondent Lawyers(s): David A. Druz
Arbitrator(s): Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | $49,999 |
| 14-02979 | 05/12/2016 | Claimant(s): Diana Stephens, Greg Stephens
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Douglas Veitch, Jason Anderson
Respondent Lawyers(s): Douglas Stuart Veitch, Jason Edward Anderson
Arbitrator(s): Steve A. Miller, Richard Djokic, Thomas R. Bromberg
Hearing Site: Denver, CO
| | $96,000 |
| 14-01815 | 09/28/2015 | Claimant(s): Carl Jensen, Sidmar, Washington Park Office Center 13
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Presidential Brokerage.
Respondent Lawyers(s): Stuart N. Bennett
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Henry Eric Peitz
Hearing Site: Denver, CO
| | $654,100 |
