Search by Case Number, Claimant, Respondent, Council, Arbitrator, Award Date or Amount Granted:
| Case Number | Award Date | Case Summary | Customer Case? | Amount Granted |
|---|---|---|---|---|
| 20-00972 | 10/21/2020 | Claimant(s): Lawrence Finch Claimant Lawyers(s): Frances Menzer Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00688 | 10/19/2020 | Claimant(s): Joseph Sturniolo Claimant Lawyers(s): Michael Bessette Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Victoria H. Buter Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00362 | 09/17/2020 | Claimant(s): Scott Arrasmith Claimant Lawyers(s): Frances Menzer Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Howard Klausmeier Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00805 | 08/03/2020 | Claimant(s): John Prymak Claimant Lawyers(s): John Prymak Respondent(s): Joseph Kelly, Spartan Capital Securities Respondent Lawyers(s): Joseph Kelly, Kim Monchik Arbitrator(s): Anita Rae Shapiro Hearing Site: Denver, CO |  | $0 |
| 19-02764 | 07/17/2020 | Claimant(s): Robert Bragg Claimant Lawyers(s): Michael Bessette Respondent(s): VSR Financial Services. Respondent Lawyers(s): David Feldstein Arbitrator(s): Milton N. Gross Hearing Site: Denver, CO | ||
| 19-03379 | 06/16/2020 | Claimant(s): Kevin Sanderford Claimant Lawyers(s): Michael Bessette Respondent(s): LPL Financial LLC, Cetera Advisors LLC Respondent Lawyers(s): David Feldstein, Sara B. Davis Arbitrator(s): Frances Johnson Wright Hearing Site: Denver, CO | ||
| 20-00041 | 06/04/2020 | Claimant(s): Bernard Elkon, Sallie Burn Claimant Lawyers(s): Bernard Peter Elkon, Sallie D. Burn Respondent(s): David Miller, Shelley Eddy, Peachcap Securities. Respondent Lawyers(s): Gregg J. Breitbart Arbitrator(s): Jonathan B. Gilbert Hearing Site: Denver, CO | | $300 |
| 19-03192 | 06/02/2020 | Claimant(s): Rex Emery Claimant Lawyers(s): Michael Bessette Respondent(s): AXA Advisors Respondent Lawyers(s): Lynnette Cortes Mhatre Arbitrator(s): Susan L. Walker Hearing Site: Denver, CO | ||
| 19-03053 | 05/07/2020 | Claimant(s): Jeffrey Gore Claimant Lawyers(s): N. Nancy Ghabai Respondent(s): LPL Financial LLC Respondent Lawyers(s): Jon Kaplon Arbitrator(s): Philip J. Glick Hearing Site: Denver, CO | ||
| 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 |