| 15-03386 | 08/25/2016 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Susanna Foels, Amrita Equities, Ridhwan Foundation
Respondent Lawyers(s): Christopher T. Leach
Arbitrator(s): Jerome C. Zackroff, Leonard M. Goldstein, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 15-02946 | 08/18/2016 | Claimant(s): Southeast Investments, N.C..
Claimant Lawyers(s): Frank H. Black
Respondent(s): Craig Sorenson, Troy West
Respondent Lawyers(s): David von Gunten, Paul R. McMenamin
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | |
| 15-01565 | 08/05/2016 | Claimant(s): Daniel Roberts
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Janus Distributors LLC
Respondent Lawyers(s): Emily F. Keimig
Arbitrator(s): Steve A. Miller, Kathy L. Eisenmenger, Elaine Frances Brown
Hearing Site: Denver, CO
| | |
| 13-03266 | 07/18/2016 | Claimant(s): Luther Furlow
Claimant Lawyers(s): Luther C. Furlow
Respondent(s): Andre LaBarbera, Kathleen McPherson, Newport Coast Securities.
Respondent Lawyers(s): Andre Vincent LaBarbera, Dan A. Druz
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
|  | $0 |
| 14-02694 | 07/15/2016 | Claimant(s): Larry and Carol Wiles, ATBE
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): Steven M. Feder, Richard J. Lawrence, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | Expungement |
| 15-01142 | 07/14/2016 | Claimant(s): Jacob Derrig
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jackson National Life Distributors LLC
Respondent Lawyers(s): William R. Schulz
Arbitrator(s): Edward F. Altman, Rody P. Biggert
Hearing Site: Denver, CO
| | |
| 15-02021 | 07/07/2016 | Claimant(s): Florence Natelson
Claimant Lawyers(s): Frank W. Visciano
Respondent(s): William Hennion, Hennion & Walsh.
Respondent Lawyers(s): Richard C. Szuch, Stefanie M. Wayco
Arbitrator(s): Steven Meyrich, Charles G. Michaels, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $155,935 |
| 14-02979 | 05/12/2016 | Claimant(s): Diana Stephens, Greg Stephens
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Douglas Veitch, Jason Anderson
Respondent Lawyers(s): Douglas Stuart Veitch, Jason Edward Anderson
Arbitrator(s): Steve A. Miller, Richard Djokic, Thomas R. Bromberg
Hearing Site: Denver, CO
| | $96,000 |
| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 14-03287 | 03/24/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gary I. Blackman
Respondent(s): Jason Ashcraft
Respondent Lawyers(s): David H. Wollins
Arbitrator(s): Jonathan H. Larson, Mary C. Davis, Jeffrey James Scott
Hearing Site: Denver, CO
| | |
