| 20-00525 | 11/13/2020 | Claimant(s): Norman Lautrup
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | |
| 19-02076 | 10/22/2020 | Claimant(s): Janice Alzado-Lotz
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Charles G. Michaels, Jo-Marie Lisa, Deanna M. Tuley
Hearing Site: Denver, CO
|  | Dismissed |
| 20-00958 | 10/21/2020 | Claimant(s): Kelly Stewart
Claimant Lawyers(s): Frances Menzer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 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 |
