| 11-00186 | 10/01/2012 | Claimant(s): Thomas Farnsworth
Claimant Lawyers(s): Stephen D. Hill
Respondent(s): Adam Sclafani
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
|  | $56,464 |
| 11-02340 | 09/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Michael Rooms
Respondent Lawyers(s): Michael Antoine Rooms
Arbitrator(s): Martin Mandel, Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 11-02325 | 08/30/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Trimbach
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Larry D. Hayden, Charles G. Michaels, Ronald L. Lantz
Hearing Site: Denver, CO
| | |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
| | Expungement |
| 10-04476 | 08/17/2012 | Claimant(s): Debra Korbelik, Robert Korbelik, Brian Joseph Korbelik 2000 Trust, Brian Joseph Korbelik 2007 Trust, Debra A. Korbelik Trust, Jason Kyle Korbelik 2000 Trust, Jason Kyle Korbelik 2007 Trust, Robert B. Korbelik Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): David Barberis, Gregory Richardson, Melissa Corrado Harrison, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day, Tara A. LaClair
Arbitrator(s): Gene R. Thornton, Donald N. Tolin, David L. Erickson
Hearing Site: Denver, CO
| | $0 |
| 12-00194 | 08/10/2012 | Claimant(s): Karen Crist
Claimant Lawyers(s): Karen J. Crist
Respondent(s): Michael Gaenzle, TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Andrew M. Habenicht
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
| | |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
| 11-00792 | 07/16/2012 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank N.A.
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Morgan Stanley, Timothy Soderquist
Respondent Lawyers(s): J. Scott Paul, John S. Lutz
Arbitrator(s): Bruce Brown, Edward F. Altman, Richard Djokic
Hearing Site: Denver, CO
| | |
| 11-03333 | 07/11/2012 | Claimant(s): Beth Du Toit
Claimant Lawyers(s): Beth DuToit
Respondent(s): CIM Securities.
Respondent Lawyers(s): Andrew I. Friedman
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
