| 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
| | |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
|  | Expungement |
| 14-03350 | 02/15/2018 | Claimant(s): Marvin Powell, Shawna Powell
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Aaron Wilbanks, Randall Wilbanks, Steven Sharpe, Will Freeman, Wilbanks Securities.
Respondent Lawyers(s): Jeffrey R. Thomas, Russell Bean
Arbitrator(s): Charles G. Michaels, Steven M. Feder, Carol L. Roslund
Hearing Site: Denver, CO
| | $1,378,000 |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 14-00876 | 06/02/2015 | Claimant(s): Lydia Custer, Roger Custer
Claimant Lawyers(s): Clark L. Davidson, Martha Bonin
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Steven M. Feder
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
| 13-01311 | 01/13/2015 | Claimant(s): Devon Still, Orlando Franklin
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Fuad Ahmed, Nainesh Brahmbhatt, Ramnik Aulakh, BP Trade., Success Trade Securities., Success Trade.
Respondent Lawyers(s): Nainesh Mahesh Brahmbhatt, Ramnik Singh Aulakh, William Cavett "Skee" Saacke
Arbitrator(s): Thaddeus J. Tecza, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | Stipulated Award |
| 13-00969 | 07/21/2014 | Claimant(s): Charles Prignano, Frances Prignano
Claimant Lawyers(s): Brett Godfrey, Casey C. Kannenberg
Respondent(s): Michele Pacitto
Respondent Lawyers(s): Gene R. Thornton
Arbitrator(s): Gerald K. Moore, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 11-04801 | 12/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Daniel Mccormack, Wayne Roys
Respondent Lawyers(s): Jonathan Stoler, Stephen D. Csajaghy
Arbitrator(s): Steven M. Feder, Mari C. Bush, Robert Allen Dudley
Hearing Site: Denver, CO
| | |
| 05-06065 | 11/27/2007 | Claimant(s): Gretchen L. and James Fairbairn
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Otto K. Hilbert, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | Stipulated Award |
