| 13-03349 | 07/16/2014 | Claimant(s): J Simmons
Claimant Lawyers(s): J Kim Simmons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Suanne M. Parro
Hearing Site: Denver, CO
| | |
| 13-00796 | 07/14/2014 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): D. Elizabeth Wills, James N. Thomaidis
Respondent(s): Allied Beacon Partners.
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Richard Djokic
Hearing Site: Denver, CO
|  | $574,070 |
| 13-00194 | 07/11/2014 | Claimant(s): Jennifer Figge
Claimant Lawyers(s): Rand S. Wonio
Respondent(s): Wells Fargo Advisors, Wells Fargo Wealth Brokerage Insurance A
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Charles G. Michaels, Bruce Brown, Ronald L. Lantz
Hearing Site: Denver, CO
| | $0 |
| 13-02651 | 07/10/2014 | Claimant(s): Thomas Joyce
Claimant Lawyers(s): Thomas P. Joyce
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Stearnes
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | $0 |
| 13-00639 | 07/09/2014 | Claimant(s): Paul Lemon
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Anthony Thompson, Dana Davis, Jeffrey Cannella, John Tyler, Michael Jones, Patrick Sutherland
Respondent Lawyers(s): Anthony W. Thompson, Carla B. Minckley, John L Tyler, Michael Washington Jones, Russell K. Bean
Arbitrator(s): Marilyn R. Lewis, Dominic Alecci, Samuel L. McClaren
Hearing Site: Denver, CO
| | $0 |
| 13-02973 | 07/03/2014 | Claimant(s): Dawn Lissy
Claimant Lawyers(s): Dawn Lissy
Respondent(s): Don DeYoung, UBS Financial Services Inc., Robert Hart, Scott Pann
Respondent Lawyers(s): Jesse Linebaugh, Melissa M. Smith
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | $0 |
| 13-02986 | 07/02/2014 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Todd Ratner
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | |
| 13-03501 | 06/10/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Daniel Violette, Daniel M. Violette IRA Rollover
Respondent Lawyers(s): Timothy Dennin
Arbitrator(s): Martha Jeanne Wilcoxson, Thomas L. Dueber, David L. Erickson
Hearing Site: Denver, CO
| | Expungement |
| 13-02600 | 04/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Brian Merrigan
Respondent Lawyers(s): Brian Merrigan
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | |
| 13-03081 | 04/01/2014 | Claimant(s): Amin Dabit
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
