| 15-01157 | 02/11/2016 | Claimant(s): Edward Pellegrini
Claimant Lawyers(s): Edward Aaron Pellegrini
Respondent(s): Edward Jones
Respondent Lawyers(s): Joseph K. Donovan
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
|  | $0 |
| 14-03709 | 12/08/2015 | Claimant(s): Carolyn McCool, Joshua Nehring
Claimant Lawyers(s): William R. Fishman
Respondent(s): Stifel, Nicolaus & Co.., Duane Smith
Respondent Lawyers(s): Duane Ariel Smith, James C. Browning
Arbitrator(s): James Patrick Beck, Ronald G. Guida, Bruce J. Pederson
Hearing Site: Denver, CO
| | Expungement |
| 15-01648 | 11/13/2015 | Claimant(s): Waddell & Reed
Claimant Lawyers(s): Carol H. Li
Respondent(s): Quentin Robb
Respondent Lawyers(s): Quentin Leroy Robb
Arbitrator(s): Susan L. Walker
Hearing Site: Denver, CO
| | |
| 14-01854 | 10/15/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Joshua F. Bugos
Respondent(s): Eric Erickson
Respondent Lawyers(s): Eric John Erickson
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | |
| 14-01815 | 09/28/2015 | Claimant(s): Carl Jensen, Sidmar, Washington Park Office Center 13
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Presidential Brokerage.
Respondent Lawyers(s): Stuart N. Bennett
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Henry Eric Peitz
Hearing Site: Denver, CO
| | $654,100 |
| 14-00391 | 06/05/2015 | Claimant(s): Brian Gill
Claimant Lawyers(s): Brian S. Gill
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): S. Lee Terry
Hearing Site: Denver, CO
| | $600 |
| 14-00876 | 06/02/2015 | Claimant(s): Lydia Custer, Roger Custer
Claimant Lawyers(s): Clark L. Davidson, Martha Bonin
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Steven M. Feder
Hearing Site: Denver, CO
| | Dismissed by Rule 12206 |
| 12-03079 | 05/22/2015 | Claimant(s): Marian Sanders
Claimant Lawyers(s): Phillip S. Wong
Respondent(s): Adam Ohair, Edward Jones
Respondent Lawyers(s): Paul Yarns
Arbitrator(s): Martin Mandel, Steven Meyrich, Ford H. Wheatley
Hearing Site: Denver, CO
| | Expungement |
| 13-02687 | 03/24/2015 | Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Donald N. Tolin, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 14-00830 | 03/16/2015 | Claimant(s): Brian Gurinsky
Claimant Lawyers(s): Paul Vorndran
Respondent(s): Pershing LLC, Shareholders Service Group.
Respondent Lawyers(s): Daniel F. Shea, Jeffrey S. Kob
Arbitrator(s): William F. Skewes, Steven Meyrich, Stephen Kirk Ingebretsen
Hearing Site: Denver, CO
| | $0 |
