| 17-01252 | 06/05/2018 | Claimant(s): John Borne
Claimant Lawyers(s): Israel Klein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Patricia M. Bottoms, Leonard Arthur Nelson, Leonard M. Goldstein
Hearing Site: Denver, CO
| | |
| 16-02137 | 05/24/2018 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Ryan Duffy
Respondent(s): Ben Torrez
Respondent Lawyers(s): Ben Dean Torrez
Arbitrator(s): Ilene T. Gormly
Hearing Site: Denver, CO
| | |
| 17-02931 | 05/21/2018 | Claimant(s): Shawn Rogers
Claimant Lawyers(s): Tosh D Grebenik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gregory M. Scanlon
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 17-02758 | 05/18/2018 | Claimant(s): Paul Garrett
Claimant Lawyers(s): Daniel B. Meyer
Respondent(s): Elaine Andreas, Lamoine Andreas
Respondent Lawyers(s): Lamoine (Lee) Andreas
Arbitrator(s): Michael S. Matek, William A. Stephenson, Eileen Joan Carpenter
Hearing Site: Denver, CO
|  | Expungement |
| 16-00101 | 05/08/2018 | Claimant(s): Carolyn Hunt-Monro
Claimant Lawyers(s): Jason T. Albin
Respondent(s): Morgan Stanley, RBC Capital Markets LLC, Robert Dennison
Respondent Lawyers(s): John P. Kincade, Kimberly J. Gustafson
Arbitrator(s): Steven Meyrich, Donald N. Tolin, Ronald G. Guida
Hearing Site: Denver, CO
| | Expungement |
| 16-03108 | 04/18/2018 | Claimant(s): Derek Eichenwald
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): AXA Advisors
Respondent Lawyers(s): Hector D. Geribon
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | |
| 17-01628 | 04/09/2018 | Claimant(s): James Myers
Claimant Lawyers(s): James O. Myers
Respondent(s): Yosef Fox
Respondent Lawyers(s): Yosef Yehuda Fox
Arbitrator(s): Steven Meyrich, Hazel E. Hanley, Jeffrey Thomas
Hearing Site: Denver, CO
| | $125,000 |
| 17-02044 | 04/05/2018 | Claimant(s): James Garner
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): A. G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Michael S. Matek
Hearing Site: Denver, CO
| | |
| 17-01624 | 03/16/2018 | Claimant(s): Mary Wright
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Morgan Stanley, Morgan Stanley DW Inc.
Respondent Lawyers(s): Alan S. Brodherson, Nicholas Y. Lin
Arbitrator(s): Gregory G. Gocek
Hearing Site: Denver, CO
| | |
| 16-02576 | 03/07/2018 | Claimant(s): Gerald Sharman
Claimant Lawyers(s): Jeffrey Thomas
Respondent(s): Morgan Stanley, Richard Shalhoub
Respondent Lawyers(s): Christine A. Kendrick
Arbitrator(s): Lisa Bass Morris, Andrew Barton, Scott Gammel
Hearing Site: Denver, CO
| | $0 |
