| 16-02886 | 02/07/2017 | Claimant(s): Ralph Janitell
Claimant Lawyers(s): Ralph David Janitell
Respondent(s): Tiaa-Cref Individual & Institutional Ser
Respondent Lawyers(s): Cora E. MacLean
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 16-02377 | 01/23/2017 | Claimant(s): Bradford Smith
Claimant Lawyers(s): Mark Appleton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Bryce Cullinane
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
|  | $300 |
| 16-00542 | 01/19/2017 | Claimant(s): Lisa Parmerlee
Claimant Lawyers(s): Gail E Boliver
Respondent(s): Donald Dewaay, Dewaay Financial Network
Respondent Lawyers(s): Donald Gene Dewaay, Robie Howe
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | $337,000 |
| 16-02292 | 12/20/2016 | Claimant(s): Sheila Masley
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Peter Roe
Respondent Lawyers(s): Jonathan R. Reich
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $300 |
| 15-00333 | 12/13/2016 | Claimant(s): Beverly Bien, David Wellman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid Atlantic Capital Corporation
Respondent Lawyers(s): Erin N. Fischer
Arbitrator(s): Thaddeus J. Tecza, Mari C. Bush, Jo-Marie Lisa
Hearing Site: Denver, CO
| | $922,470 |
| 14-03570 | 11/22/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Christopher Mullen, Heather Roentz
Respondent Lawyers(s): Jason Roberts, Russell K. Bean
Arbitrator(s): Mari C. Bush, Jo-Marie Lisa, Edward S. Koppman
Hearing Site: Denver, CO
| | |
| 16-00120 | 11/03/2016 | Claimant(s): Candice Hutton
Claimant Lawyers(s): Candice Joy Hutton
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Christopher H. Tovar
Arbitrator(s): John S. Lutz, Charles G. Michaels, Suanne M. Parro
Hearing Site: Denver, CO
| | |
| 16-01900 | 11/02/2016 | Claimant(s): Jeffrey Owen Roth IRA, Wendy Heywood Roth IRA
Claimant Lawyers(s): Gary Menzer
Respondent(s): Geneos Wealth Management.
Respondent Lawyers(s): Michelle M. Atlas
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $0 |
| 15-01702 | 09/28/2016 | Claimant(s): Faith Magill
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jackson National Life Distributors LLC
Respondent Lawyers(s): William R. Schulz
Arbitrator(s): Ilene T. Gormly, Robert H. Ottesen, Rey Hernandez Julian
Hearing Site: Denver, CO
| | $0 |
| 16-00721 | 09/12/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas F. Kopshever
Respondent(s): Vincent Wilson
Respondent Lawyers(s): Vincent Evan Wilson
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
| | |
