| 17-01506 | 02/26/2018 | Claimant(s): Jarrod Biebel
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Prudential Equity Group, Wells Fargo Clearing Services
Respondent Lawyers(s): Alan S. Brodherson, Michael Naccarato
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
| 16-03342 | 02/23/2018 | Claimant(s): Karen Johnston
Claimant Lawyers(s): Aaron Israels
Respondent(s): Phillip Mekas, Thomas Brenner, First American Securities.
Respondent Lawyers(s): Booker T. Coleman, Joseph H. Spiegel, Thomas Brenner
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
|  | Expungement |
| 17-01263 | 02/16/2018 | Claimant(s): Louis Tilchin
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Alan S. Brodherson
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | |
| 14-03350 | 02/15/2018 | Claimant(s): Marvin Powell, Shawna Powell
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Aaron Wilbanks, Randall Wilbanks, Steven Sharpe, Will Freeman, Wilbanks Securities.
Respondent Lawyers(s): Jeffrey R. Thomas, Russell Bean
Arbitrator(s): Charles G. Michaels, Steven M. Feder, Carol L. Roslund
Hearing Site: Denver, CO
| | $1,378,000 |
| 17-02328 | 01/29/2018 | Claimant(s): Wells Fargo Clearing Services
Claimant Lawyers(s): Mitchell Albert
Respondent(s): Christopher Watton
Respondent Lawyers(s): Christopher Lee Watton
Arbitrator(s): William M. Getzoff
Hearing Site: Denver, CO
| | |
| 16-02312 | 01/22/2018 | Claimant(s): Fredrick Stepan, Marion Stepan, The Stepan Trust dated January 18, 2013
Claimant Lawyers(s): Aaron Israels
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Donald N. Tolin, Deanna M. Tuley, Leonard M. Goldstein
Hearing Site: Denver, CO
| | Expungement |
| 16-01765 | 12/28/2017 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Gregory Giuffra
Respondent Lawyers(s): Julie M. Walker
Arbitrator(s): Richard J. Lawrence, Victoria Anne Long, Tina Alison Davis
Hearing Site: Denver, CO
| | |
| 15-00578 | 12/13/2017 | Claimant(s): Kelley Keys Best
Claimant Lawyers(s): Kelley Keys Best
Respondent(s): John Herpers, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Megan Roberts
Arbitrator(s): Gregory G. Gocek, Thomas L. Dueber, Margaret Ann Barrington
Hearing Site: Denver, CO
| | $0 |
| 17-01081 | 12/01/2017 | Claimant(s): Jordan Dechtman
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Securities America.
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Lynn Hirschfeld Brahin
Hearing Site: Denver, CO
| | |
| 16-00067 | 11/16/2017 | Claimant(s): Ryan Behm
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Thrivent Investment Management Inc.
Respondent Lawyers(s): Lindsay E. Wuller
Arbitrator(s): Steven Meyrich, David L. Erickson, William E Murray
Hearing Site: Denver, CO
| | |
