| 10-01497 | 02/15/2012 | Claimant(s): Paul Sacco
Claimant Lawyers(s): Jeffrey Pederson
Respondent(s): John Guyette, Allied Beacon Partners. f/k/a Water, Community Bankers Securities
Respondent Lawyers(s): John Brady Guyette, Steven S. Biss
Arbitrator(s): William F. Skewes, Bradford J. Lam, Edward Allan Hindman
Hearing Site: Denver, CO
|  | $109,956 |
| 11-02800 | 01/27/2012 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A Miller
Respondent(s): Candice Hutton
Respondent Lawyers(s): Candice Joy Hutton
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | |
| 11-00024 | 01/26/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Scot Barringer
Respondent Lawyers(s): Scot Barringer
Arbitrator(s): Robert S. McConnell
Hearing Site: Denver, CO
| | |
| 11-02656 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Deverich
Respondent Lawyers(s): Michael Lee Deverich
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 09-06962 | 01/13/2012 | Claimant(s): Bruce Norman, David Robertson, Donald Reutlinger, Glenn Spaur, Hardy Hodges, Henry Burns, James DeMartini, Janell Reutlinger, Jarod Kuntz, John Beaupre, Kenneth Hofmeister, Kimber Heineman, Lawrence Berg, Leslie Schifferns, Lou Burns, Mary Hofmeister, Merle Allen, Pamela Kuntz, Richard Faulkner, Ruth DeMartini, et al
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Capwest Securities.
Respondent Lawyers(s): Tom Fehn
Arbitrator(s): Thaddeus J. Tecza, Martin M. Berliner, John Fleming Kelly
Hearing Site: Denver, CO
| | $9,120,500 |
| 10-03482 | 01/13/2012 | Claimant(s): Jim Clamp, Susan Stewart, Clamp Investment Properties, Stewart Investment Properties
Claimant Lawyers(s): William D. Nelson
Respondent(s): Gregory Fulton
Respondent Lawyers(s): Steven W. McDonald
Arbitrator(s): James J. Moylan, Avery B. Goodman, Richard Djokic
Hearing Site: Denver, CO
| | $700,600 |
| 11-00127 | 12/14/2011 | Claimant(s): Darleen Simpson, Norbert Simpson
Claimant Lawyers(s): Thomas J. Wolf
Respondent(s): Michael Abraham
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): James B. Eichberg, Ronald G. Guida, Hazel E. Hanley
Hearing Site: Denver, CO
| | $0 |
| 11-00575 | 12/08/2011 | Claimant(s): Rose Gannon
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): James B. Eichberg, Richard M. Reider, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $0 |
| 10-02249 | 11/25/2011 | Claimant(s): Karen Trumper, Robert Trumper
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Dale Hall, Jeffrey Pridey, Kathleen Heshelow, Kent Pridey, Lawrence Lambert, Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Donald N. Tolin, Helen P. Love, Bruce J. Pederson
Hearing Site: Denver, CO
| | $557,500 |
| 10-03431 | 11/17/2011 | Claimant(s): Cara Pessel, Eric Pessel, Jason Pessel, David Pessel IRA, David Pessel Roth IRA, Eric Pessel IRA, Jason Pessel IRA, Jason Pessel Roth IRA, Rhona Pessel IRA, Rhona Pessel Roth IRA, Eric Pessel Trust Account, Sylvia Stiftel Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Charles G. Michaels, Thomas L. Dueber, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | $41,855 |
