| 18-01058 | 04/15/2020 | Claimant(s): David Mitton
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Peter Hardin
Arbitrator(s): Charles G. Michaels, Ronald G. Guida, Wendy P Rouder
Hearing Site: Denver, CO
|  | $303,101 |
| 19-03422 | 03/26/2020 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Richard Kuhlman
Respondent(s): Sanjoy Dasgupta
Respondent Lawyers(s): Sanjoy Dasgupta
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
| | |
| 17-03511 | 03/13/2020 | Claimant(s): Gregory Zimmerman, Staci Walls
Claimant Lawyers(s): Aaron Israels
Respondent(s): Alps Distributors., Alps Portfolio Solutions Distributor Inc
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO
| | |
| 18-01845 | 03/13/2020 | Claimant(s): Yang Song
Claimant Lawyers(s): Yang Lucas Song
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Carla B. Minckley
Hearing Site: Denver, CO
| | |
| 19-03469 | 03/04/2020 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Raha Assadi
Respondent(s): Scott McVicker
Respondent Lawyers(s): Scott Evans McVicker
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
| | |
| 19-01688 | 02/28/2020 | Claimant(s): Steven Southworth
Claimant Lawyers(s): Frances Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
| | |
| 19-03127 | 01/29/2020 | Claimant(s): Thomas Hallenbeck, Thomas Hallenbeck IRA
Claimant Lawyers(s): Bradley D. Schnur
Respondent(s): Windsor Street Capital
Respondent Lawyers(s): John W. Stalanski
Arbitrator(s): Deanna M. Tuley
Hearing Site: Denver, CO
| | Dismissed |
| 18-00618 | 01/24/2020 | Claimant(s): Russell Chacon
Claimant Lawyers(s): David Liebrader
Respondent(s): Taylor Capital Management Inc.
Respondent Lawyers(s): Preston Spears
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | $0 |
| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
| | Dismissed by Rule 12206/12504 |
| 18-01550 | 12/13/2019 | Claimant(s): Joseph Sturniolo
Claimant Lawyers(s): Michael Bessette
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
