| 19-02189 | 12/11/2019 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Walter Sweatt
Respondent Lawyers(s): Walter Lee Sweatt
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 18-04374 | 12/11/2019 | Claimant(s): Jack Harvey, Jeannie Kaess
Claimant Lawyers(s): Jeannie Kaess
Respondent(s): Edwin Balmer, Edward Jones
Respondent Lawyers(s): Darren Goodman
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
|  | $0 |
| 18-02333 | 12/09/2019 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Beau Pollard, Jason Baer
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): Michael S. Matek, Ilene T. Gormly, Margaret Ann Barrington
Hearing Site: Denver, CO
| | |
| 19-00691 | 12/04/2019 | Claimant(s): Bonnie Hatten, Karen Robinson, Richard Bloom, Richard Hatten, Bloom Energy., BB Cove
Claimant Lawyers(s): Michael A. Rollin
Respondent(s): Gregory Williams, Presidential Brokerage.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Tina Alison Davis, Brian Luther, Nicholas Jay Dale
Hearing Site: Denver, CO
| | $45,818 |
| 18-02508 | 11/26/2019 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Despard
Respondent Lawyers(s): William Roy Despard
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 18-03853 | 11/25/2019 | Claimant(s): John Winans
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Michael Fassi, Centaurus Financial.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Holly Stein Sollod, Donald N. Tolin, Eric Moutz
Hearing Site: Denver, CO
| | $0 |
| 19-01228 | 11/04/2019 | Claimant(s): Peter Tedstrom
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 18-04185 | 10/03/2019 | Claimant(s): James O'Leary
Claimant Lawyers(s): Jeffrey S. Greenhaus
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 19-00286 | 09/18/2019 | Claimant(s): Robert Schwarz
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 18-04037 | 09/16/2019 | Claimant(s): Erinn Ford
Claimant Lawyers(s): Amir Tadjedin
Respondent(s): Cetera Advisors LLC, Pacific West Securities.
Respondent Lawyers(s): Jeremy Carr, Tony Pizelo
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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