| 08-04600 | 07/31/2009 | Claimant(s): Susan Regan, Susan M. Regan Trust
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Scott Kozak, Multi-Financial Securities Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes
Hearing Site: Denver, CO
|  | $52,050 |
| 08-04581 | 05/28/2009 | Claimant(s): Stewart Mcfadden
Claimant Lawyers(s): Stewart McFadden
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | |
| 07-03412 | 03/05/2009 | Claimant(s): Aimee Mason-Hobbins
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert C. Roth, Bruce Brown, Michael A. Ruderman
Hearing Site: Denver, CO
| | $509,800 |
| 07-03366 | 03/03/2009 | Claimant(s): Leslie Buttorff, J & N Realty Company
Claimant Lawyers(s): Susan G. Pray
Respondent(s): Anthony Russo, RBC Dain Rauscher.
Respondent Lawyers(s): Anthony C. Russo, William D. Nelson
Arbitrator(s): Arthur E. Otten, John A. Criswell, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | $348,750 |
| 07-02794 | 10/21/2008 | Claimant(s): Annika Clark
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert D. Greenlee, John E. Plock, Bernard A. Clark
Hearing Site: Denver, CO
| | $549,918 |
| 07-00384 | 06/16/2008 | Claimant(s): David Clappisi, Melanie Clappisi
Claimant Lawyers(s): Patrick D. Vellone
Respondent(s): Derek Kent, Sagepoint Financial., AIG SunAmerica Inc.
Respondent Lawyers(s): John P. Glenn, William D. Nelson
Arbitrator(s): Malcolm T. Cleland, Steven Meyrich, Martha M. Walker
Hearing Site: Denver, CO
| | $511,228 |
| 07-03519 | 05/23/2008 | Claimant(s): Marc. Saunders, Terri Saunders
Claimant Lawyers(s): Kenneth B. Siegel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Susan M. Thevenet, Steven Meyrich, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 06-01384 | 05/08/2008 | Claimant(s): Susan Wickizer
Claimant Lawyers(s): Paul N. Young
Respondent(s): Jeffrey Toman, Piper Jaffray & Co.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Joseph M. Costello, Rhonda L. Rhodes, Michael A. Ruderman
Hearing Site: Denver, CO
| | $0 |
| 06-04822 | 02/29/2008 | Claimant(s): Neal Winberg, Shelley Winberg, Winberg Family Partnership, LLP, Winberg Family Char. Remainder Trust
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Debra Silversmith, Donald Silversmith, Omnivest.
Respondent Lawyers(s): Russell K. Bean, William D. Nelson
Arbitrator(s): Jeffrey M. Bain, Richard M. Duxbury, David K. Schaal
Hearing Site: Omaha, NE
| | $307,717 |
