| 20-00400 | 09/29/2021 | Claimant(s): John Elliott
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Marilyn R. Lewis, Rick Gale Doty, Ruth M. Moore
Hearing Site: Denver, CO
|  | $2,082,150 |
| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
| | $165,000 |
| 20-01415 | 04/20/2021 | Claimant(s): Russell Shurts
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Triad Advisors LLC, Joseph Michaletz
Respondent Lawyers(s): James A. McGovern, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Marilyn R. Lewis, Eric Moutz
Hearing Site: Denver, CO
| | Expungement |
| 19-03362 | 04/30/2020 | Claimant(s): Matthew Wilson
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
| | |
| 18-03060 | 05/14/2019 | Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
| | |
| 16-00293 | 12/13/2018 | Claimant(s): John Everson, Rosalie Everson
Claimant Lawyers(s): James Thomaidis
Respondent(s): Edward Jones
Respondent Lawyers(s): Thomas H. Wagner
Arbitrator(s): Ilene T. Gormly, Marilyn R. Lewis, Carol L. Roslund
Hearing Site: Denver, CO
| | |
| 16-02316 | 09/04/2018 | Claimant(s): Dwain Owens, Myron Owens, Strategic Legacy Advisors.
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Margaret Tietjen, Richard Woltman, Girard Securities.
Respondent Lawyers(s): R. Craig Zafis
Arbitrator(s): Marilyn R. Lewis, Verne R. Gray, David K. Schaal
Hearing Site: Omaha, NE
| | |
| 16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson
Claimant Lawyers(s): James B. Luers
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss
Hearing Site: Omaha, NE
| | $440,158 |
| 15-02021 | 07/07/2016 | Claimant(s): Florence Natelson
Claimant Lawyers(s): Frank W. Visciano
Respondent(s): William Hennion, Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch, Stefanie M. Wayco
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $155,935 |
| 14-01383 | 12/22/2014 | Claimant(s): Larry Hendricks
Claimant Lawyers(s): Jan Graham
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Heidi G. Goebel
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | Dismissed by Rule 12206 |
