| 12-01775 | 11/12/2013 | Claimant(s): Siegfried Mayer
Claimant Lawyers(s): Siegfried Mayer
Respondent(s): Brian Weinberg, Jeffrey Jones, Synergy Investment Group
Respondent Lawyers(s): Baruch Gottesman, Ian J. Frimet
Arbitrator(s): Martin Mandel
Hearing Site: Denver, CO
|  | $25,000 |
| 13-00536 | 09/23/2013 | Claimant(s): Nora Parker
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Joe Birkinbine, United Securities Alliance.
Respondent Lawyers(s): James J. Moylan, Michael Jones
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Denver, CO
| | $59,093 |
| 12-02652 | 09/06/2013 | Claimant(s): Irene Resnick, U/A DTD 7/2/91 by Irene Resnick
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): James B. Eichberg
Hearing Site: Denver, CO
| | Expungement |
| 12-02944 | 07/31/2013 | Claimant(s): Mary Power
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elin B. Young
Arbitrator(s): Thomas L. Dueber
Hearing Site: Denver, CO
| | Expungement |
| 11-04366 | 07/26/2013 | Claimant(s): Marcia Steinmann
Claimant Lawyers(s): Jeffrey D. Pederson
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | Expungement |
| 11-04283 | 07/25/2013 | Claimant(s): Craig Bollman, Aristek Properties, Homefree Village Resorts., Monte Vista, Proteus Associates
Claimant Lawyers(s): Jeffrey J. Scott, Richard J. Pocker
Respondent(s): Marshall Blake, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah R. Wolff
Arbitrator(s): Richard M. Reider, Donald N. Tolin, Suanne M. Parro
Hearing Site: Denver, CO
| | Expungement |
| 11-01070 | 04/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Shoffner
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Samuel E. Wing, Marilyn R. Lewis, Melissa Kay Kondziolka
Hearing Site: Denver, CO
| | |
| 12-01922 | 02/27/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brent Burrows
Respondent Lawyers(s): Otto K. Hilbert
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
| | |
| 11-02126 | 11/14/2012 | Claimant(s): Ronald Daurio
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): James Doidge, Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): William F. Skewes, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $70,375 |
| 11-02075 | 10/09/2012 | Claimant(s): Leprino Foods Company
Claimant Lawyers(s): Michael G. Martin
Respondent(s): BNY Mellon Capital Markets
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): Samuel E. Wing, Melissa Dawn Hubbard, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
