| 13-00639 | 07/09/2014 | Claimant(s): Paul Lemon
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Anthony Thompson, Dana Davis, Jeffrey Cannella, John Tyler, Michael Jones, Patrick Sutherland
Respondent Lawyers(s): Anthony W. Thompson, Carla B. Minckley, John L Tyler, Michael Washington Jones, Russell K. Bean
Arbitrator(s): Marilyn R. Lewis, Dominic Alecci, Samuel L. McClaren
Hearing Site: Denver, CO
|  | $0 |
| 13-01377 | 10/31/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): William Taylor
Respondent Lawyers(s): William H. Taylor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | |
| 11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
| | |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 11-04636 | 06/13/2012 | Claimant(s): Wall Street Communications Group.
Claimant Lawyers(s): David M. Kaye
Respondent(s): Alpine Securities Corporation, Spencer Edwards.
Respondent Lawyers(s): Gordan Dihle, Richard F. Ensor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
| | $8,279 |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 10-03278 | 08/26/2011 | Claimant(s): Steven Casull
Claimant Lawyers(s): Steven J. Casull
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Rodger A. Nye
Arbitrator(s): Peggy Peterson, A. O. Headman, Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
| | |
| 09-05438 | 05/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Gracia, Lorrie Mayes
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Marilyn R. Lewis, Timothy E. Taggart, Leonard M. Goldstein
Hearing Site: Denver, CO
| | |
| 09-05435 | 11/16/2010 | Claimant(s): Arlene McAdam, Charles McAdam
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Wachovia Securities, John Waite
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Skewes, Marilyn R. Lewis, Edward Allan Hindman
Hearing Site: Denver, CO
| | $100,300 |
| 08-02993 | 10/06/2009 | Claimant(s): Michael Pappas
Claimant Lawyers(s): Marc F. Colin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ann Hensler
Arbitrator(s): Gene R. Thornton, Marilyn R. Lewis, Michael A. Ruderman
Hearing Site: Denver, CO
| | |
