| 23-01662 | 08/15/2024 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Peter S. Fruin
Respondent(s): Anthony Paul, Nicholas Hamilton
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Joseph M. Costello, Michael J Norton, Rick Gale Doty
Hearing Site: Denver, CO
| | |
| 23-00307 | 07/01/2024 | Claimant(s): Janet Romanski
Claimant Lawyers(s): Matt Lewis
Respondent(s): Edward Jones, Lloyd Wright
Respondent Lawyers(s): Maria Windham
Arbitrator(s): Barry H. Barnett, Michael J Norton, Morgan Hislop Lemaitre
Hearing Site: Salt Lake City, UT
|  | Expungement |
| 23-02687 | 04/24/2024 | Claimant(s): Connor Aronis
Claimant Lawyers(s): Stephan Louviere
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Wichita, KS
| | |
| 23-01744 | 04/22/2024 | Claimant(s): Ronald Beckner
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Edward Jones
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
| | |
| 23-02834 | 04/08/2024 | Claimant(s): Melissa Devolve
Claimant Lawyers(s): Everett Pritchard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
| | |
| 20-01275 | 02/02/2024 | Claimant(s): Ryan Mummert
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Jennifer E. Novoselsky
Arbitrator(s): Laurel Littman Gothelf, Michael J Norton
Hearing Site: Albuquerque, NM
| | |
| 23-00321 | 12/06/2023 | Claimant(s): Scott Baker
Claimant Lawyers(s): Harris Freedman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katelyn H. Wilson
Arbitrator(s): Michael J Norton
Hearing Site: Denver, CO
| | |
| 23-00184 | 09/14/2023 | Claimant(s): Todd Smith
Claimant Lawyers(s): James P Galvin
Respondent(s): LPL Financial LLC, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, Rochelle Mayfield
Arbitrator(s): Michael J Norton
Hearing Site: Albuquerque, NM
| | |
| 22-01400 | 01/24/2023 | Claimant(s): Harold Madison
Claimant Lawyers(s): James P. Galvin
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Laura Ruiz Rivera
Arbitrator(s): Michael Jeffrey Norton, Amani Amir Ali, Sophia C. Hassman
Hearing Site: Denver, CO
| | |
| 22-01856 | 01/05/2023 | Claimant(s): Justin Young
Claimant Lawyers(s): Justin N Young
Respondent(s): Webull Financial Llc
Respondent Lawyers(s): Benjamin D. Cooper
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | $0 |
