| 23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-02152 | 11/01/2023 | Claimant(s): Sean Spencer, Access Capital
Claimant Lawyers(s): John Vaughn
Respondent(s): IMA Wealth
Respondent Lawyers(s): Clayton J. Kaiser
Arbitrator(s): John W. Jones, Leonard M. Goldstein, Tara A. LaClair
Hearing Site: Wichita, KS
| | |
| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp.
Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild
Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley
Hearing Site: Denver, CO
| | |
| 21-01541 | 09/06/2022 | Claimant(s): Kimberly JaJack
Claimant Lawyers(s): Robert M. Liechty
Respondent(s): NYLife Securities LLC
Respondent Lawyers(s): Timothy M. Kratz
Arbitrator(s): Michael S. Matek, Leonard M. Goldstein, Sharyn Beers
Hearing Site: Denver, CO
| | |
| 19-01854 | 11/23/2021 | Claimant(s): Timothy Greer
Claimant Lawyers(s): Mark Appleton
Respondent(s): Carol Chairito
Respondent Lawyers(s): Joshua Kons
Arbitrator(s): Leonard M. Goldstein, Julie Judith Lurman Joly, Albert Lee Birdsell
Hearing Site: Denver, CO
|  | $0 |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $1,044,840 |
| 19-00374 | 07/17/2019 | Claimant(s): Larry Grooms
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Dylan Lantry
Respondent Lawyers(s): Gerald B. Kline
Arbitrator(s): Leonard M. Goldstein
Hearing Site: Denver, CO
| | $360 |
| 17-02992 | 11/05/2018 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Russell D. Duncan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Mary C. Davis, Leonard M. Goldstein, Margaret Ann Barrington
Hearing Site: Denver, CO
| | |
| 17-01252 | 06/05/2018 | Claimant(s): John Borne
Claimant Lawyers(s): Israel Klein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Patricia M. Bottoms, Leonard Arthur Nelson, Leonard M. Goldstein
Hearing Site: Denver, CO
| | |
| 16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013
Claimant Lawyers(s): Aaron Israels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
