| 18-00373 | 11/01/2018 | Claimant(s): Gary Davis
Claimant Lawyers(s): Michael Bessette
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): Samuel L. McClaren
Hearing Site: Denver, CO
| | |
| 18-01305 | 10/17/2018 | Claimant(s): Joseph Sturnoilo
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 18-00435 | 10/02/2018 | Claimant(s): Jeffrey Speicher
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Rody P. Biggert
Hearing Site: Denver, CO
| | |
| 17-01895 | 09/19/2018 | Claimant(s): David Peterson
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Denver, CO
| | |
| 17-01857 | 09/05/2018 | Claimant(s): IRA of Jonathan M. Seltzer, IRA of Susan O. Seltzer, SEP IRA of Jonathan M. Seltzer, Rev Trust of Jonathan M. Seltzer, Rev Trust of Susan O. Seltzer
Claimant Lawyers(s): Jonathan and Susan Seltzer
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Shawn Larsen Bright
Arbitrator(s): Ilene T. Gormly, Tina Alison Davis, Rick Gale Doty
Hearing Site: Denver, CO
|  | $0 |
| 18-00187 | 09/04/2018 | Claimant(s): Cheryl Squier
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | |
| 18-00280 | 07/25/2018 | Claimant(s): Thomas Alley
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Igor V. Stadnik
Arbitrator(s): Milton N. Gross
Hearing Site: Denver, CO
| | |
| 17-00336 | 07/19/2018 | Claimant(s): Thomas Wolf
Claimant Lawyers(s): Glenn W. Merrick
Respondent(s): Omega Wireless
Respondent Lawyers(s): Timothy R. Beyer
Arbitrator(s): William F. Skewes, Patricia M. Bottoms, Tina Alison Davis
Hearing Site: Denver, CO
| | $0 |
| 16-00012 | 06/20/2018 | Claimant(s): Robert Hernreich, R. Hernreich 1987 Family Trust, R. Hernreich Charitable Remainder Trst 1, R. Hernreich Charitable Remainder Trst 2, R. Hernreich Charitable Remainder Trst 3, R. Hernreich Charitable Remainder Trst 4, R. Hernreich Charitable Remainder Trst 5, Robert E. Hernreich 2005 Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Hazel E. Hanley
Hearing Site: Denver, CO
| | Expungement |
| 17-01968 | 06/15/2018 | Claimant(s): Zane Piston
Claimant Lawyers(s): John A. Gallagher
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, Baldwin Ranson
Hearing Site: Denver, CO
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