22-00519 | 05/18/2023 | Claimant(s): Michael Herman Claimant Lawyers(s): Martin M. Berliner Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services. Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang Hearing Site: Denver, CO
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11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Timothy N. Will Respondent(s): James Shoffner Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka Hearing Site: Denver, CO
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11-02325 | 08/30/2012 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Timothy N. Will Respondent(s): Scott Trimbach Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Larry D. Hayden, Charles G. Michaels, Ronald L. Lantz Hearing Site: Denver, CO
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09-05438 | 05/05/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Jonathan E. Levine Respondent(s): James Gracia, Lorrie Mayes Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein Hearing Site: Denver, CO
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08-00072 | 06/19/2009 | Claimant(s): Wachovia Securities Financial Network Claimant Lawyers(s): Judy Louie Respondent(s): Donald Peterson Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Martin Mandel, William R. Rafti, Patrick Owen King Hearing Site: Reno, NV
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06-04830 | 07/03/2008 | Claimant(s): Jose Padilla Claimant Lawyers(s): Martin M. Berliner Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance. Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston Hearing Site: Denver, CO
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06-03014 | 05/19/2008 | Claimant(s): Berniece M Bonebrake Rev Trust Claimant Lawyers(s): J. L. Spray Respondent(s): Brian Schuster, Wachovia Securities, Rebecca Engle Respondent Lawyers(s): Brian J. Schuster, Martin M. Berliner, Todd Ratner Arbitrator(s): Felix Beard Davidson, Thomas C. Lauritsen, Hollie M. Mason Hearing Site: Omaha, NE
| | $98,709 |
07-01464 | 05/08/2008 | Claimant(s): Arvilla Orton, Arvilla Lorraine Orton 1st Trust UA dtd Claimant Lawyers(s): Allan M. Lerner Respondent(s): Rebecca Engle Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Stuart M. Rapee, Joel F. Martineau, James Conrad Sankpill Hearing Site: Boca Raton, FL
| | $245,940 |
06-03507 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network Claimant Lawyers(s): Steve Satter Respondent(s): Brian Knotts, Robert Hyer Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Joan Helen Lukasik, Jerome O. Cohen, Ronald E. Lorentsen Hearing Site: Seattle, WA
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06-03508 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network Claimant Lawyers(s): Steve Satter Respondent(s): Robert Hyer Respondent Lawyers(s): Martin M. Berliner Arbitrator(s): Hearing Site: Seattle, WA
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