| 13-03408 | 02/26/2015 | Claimant(s): Lawrence Hake
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Charles G. Michaels, Suanne M. Parro, Margaret Ann Barrington
Hearing Site: Denver, CO
|  | $0 |
| 14-00635 | 02/06/2015 | Claimant(s): Julie Schmidt
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black, Frank Harmon Black
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $52,152 |
| 14-02776 | 01/27/2015 | Claimant(s): Devon Still, Orlando Franklin
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Jinesh Brahmbhatt
Respondent Lawyers(s): Jinesh Pravin Brahmbhatt
Arbitrator(s): David L. Erickson
Hearing Site: Denver, CO
| | $1,413,500 |
| 13-01311 | 01/13/2015 | Claimant(s): Devon Still, Orlando Franklin
Claimant Lawyers(s): Peter W. Homer
Respondent(s): Fuad Ahmed, Nainesh Brahmbhatt, Ramnik Aulakh, BP Trade., Success Trade Securities., Success Trade.
Respondent Lawyers(s): Nainesh Mahesh Brahmbhatt, Ramnik Singh Aulakh, William Cavett "Skee" Saacke
Arbitrator(s): Thaddeus J. Tecza, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | Stipulated Award |
| 13-01579 | 12/04/2014 | Claimant(s): James Young
Claimant Lawyers(s): Brian J. Neville
Respondent(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marian Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Respondent Lawyers(s): James Merkel, James Smith, Jim Wilson, Joe Dickerson, Johnny Jones, Joyce Heitmeyer, Judith Smith, Marion Patton, Mary Heitmeyer, Teresa Wilson, Tom Gawronski, Urban Heitmeyer
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Stephen A. Kohn
Hearing Site: Denver, CO
| | Expungement |
| 13-02525 | 12/04/2014 | Claimant(s): Jean Schott
Claimant Lawyers(s): Matthew S. Rork
Respondent(s): Shareholders Service Group.
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): Charles G. Michaels, Samuel L. McClaren, Mary C. Davis
Hearing Site: Denver, CO
| | $120,000 |
| 13-02321 | 11/13/2014 | Claimant(s): Laurie Miranda
Claimant Lawyers(s): Scott Gelman
Respondent(s): Craig Maxey, Moloney Securities Co..
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Edward F. Siegel, J. Robert Brown, Elaine Frances Brown
Hearing Site: Denver, CO
| | $273,119 |
| 14-01128 | 10/01/2014 | Claimant(s): David Pihlgren
Claimant Lawyers(s): David Pihlgren
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Meagan A. Lamberti
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | $0 |
| 14-00888 | 09/12/2014 | Claimant(s): Matthew Iles
Claimant Lawyers(s): Adam Green
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert D. Greenlee
Hearing Site: Denver, CO
| | $213 |
| 13-00969 | 07/21/2014 | Claimant(s): Charles Prignano, Frances Prignano
Claimant Lawyers(s): Brett Godfrey, Casey C. Kannenberg
Respondent(s): Michele Pacitto
Respondent Lawyers(s): Gene R. Thornton
Arbitrator(s): Gerald K. Moore, Steven M. Feder, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
