| 18-02220 | 09/09/2019 | Claimant(s): Carol Chiarito
Claimant Lawyers(s): Joshua B. Kons
Respondent(s): Mutual Of Omaha Investor Services.
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Ronald G. Guida, Richard Djokic, Michael Eugene Ford
Hearing Site: Denver, CO
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| 19-00390 | 08/29/2019 | Claimant(s): Ron Zimmermann
Claimant Lawyers(s): Michael Bessette
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
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| 18-03999 | 08/22/2019 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A La Porta
Respondent(s): Randolph George
Respondent Lawyers(s): Randolph William George
Arbitrator(s): Martin M. Berliner, Charles G. Michaels, Robert Burns Logan
Hearing Site: Denver, CO
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| 18-03319 | 08/22/2019 | Claimant(s): Thomas Mellish
Claimant Lawyers(s): Jason T Albin
Respondent(s): David Bartfeld, Edward Jones
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Thaddeus J. Tecza, Ilene T. Gormly, Dennis C Moore
Hearing Site: Denver, CO
|  | $0 |
| 18-04321 | 08/13/2019 | Claimant(s): Eric Veve
Claimant Lawyers(s): Michael Bessette
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
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| 18-04377 | 08/13/2019 | Claimant(s): John Venable
Claimant Lawyers(s): Michael Bessette
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 18-04220 | 08/05/2019 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Jessica Klein
Respondent(s): John Driscoll
Respondent Lawyers(s): John T Driscoll
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
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| 19-00374 | 07/17/2019 | Claimant(s): Larry Grooms
Claimant Lawyers(s): Bradley D Schnur
Respondent(s): Dylan Lantry
Respondent Lawyers(s): Gerald B. Kline
Arbitrator(s): Leonard M. Goldstein
Hearing Site: Denver, CO
| | $360 |
| 18-03060 | 05/14/2019 | Claimant(s): James McLellan
Claimant Lawyers(s): Frances Menzer
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Denver, CO
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| 17-02847 | 04/23/2019 | Claimant(s): Daniel Alivernini
Claimant Lawyers(s): Brittany Weiner
Respondent(s): USAA Financial Advisors.
Respondent Lawyers(s): David W. Erb
Arbitrator(s): William F. Skewes, Samuel L. McClaren, John Jerold Barrett
Hearing Site: Denver, CO
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