| 17-03471 | 08/13/2018 | Claimant(s): Michael Butt
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co., UBS Financial Services Inc.
Respondent Lawyers(s): Ann C. McCague, Neal S. Robb
Arbitrator(s): Merton E. Marks
Hearing Site: Phoenix, AZ
| | |
| 17-01210 | 11/06/2017 | Claimant(s): Ronald Daly
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Ann C. McCague
Arbitrator(s): Laurel Littman Gothelf
Hearing Site: Boise, ID
| | |
| 16-03406 | 06/21/2017 | Claimant(s): Bryan Engebretson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: Seattle, WA
| | |
| 16-02943 | 04/05/2017 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): John Geelan
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | |
| 10-00664 | 08/04/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John C. Steele
Respondent(s): Piper Jaffray & Co., Mark Riley
Respondent Lawyers(s): John C. Steele, Marie C. Mirch
Arbitrator(s): Nancy J. Spieczny, Edward H. Davis, Arnold Packer
Hearing Site: San Diego, CA
| | |
| 10-01943 | 04/13/2011 | Claimant(s): David Lehrer
Claimant Lawyers(s): David Lehrer
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Brooke D. Anthony
Arbitrator(s): Terry F. Peppard, Susan H. Schleisner, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | |
| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
| | |
| 08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
| | |
| 08-04720 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Seattle, WA
| | |
| 08-04722 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): David Lehrer, Michael Patterson, Stephen Hird
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Milwaukee, WI
| | |
