| 10-01664 | 11/07/2011 | Claimant(s): Bruce Ballinger, Charles Davis, Doug Hammond, Joan Lerner, Judy Vincent, Lola Stanley, Michael Wei, Michelle Caforio, Robyn Hendershot, Sandra Davis, Sandra Foster, Sanford Lerner, Stephen Vail, Steven Ruby, Susan Ballinger, Susan Friede, Susan Hammond
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Jeremy Hart, Evolve Securities.
Respondent Lawyers(s): Jeremy M. Hart, Scot Lenior
Arbitrator(s): Arthur E. Otten, Lawrence Douglas Brookes, David L. Erickson
Hearing Site: Denver, CO
|  | $2,168,380 |
| 10-03939 | 11/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Ralph Jones
Respondent Lawyers(s): Krista L. Tushar
Arbitrator(s): William F. Skewes, Martin M. Berliner, James J. Ashe
Hearing Site: Denver, CO
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| 10-04464 | 11/02/2011 | Claimant(s): Jeffrey Jankowski
Claimant Lawyers(s): Jeffrey Joseph Jankowski
Respondent(s): Anthony Campen, Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Anthony J. Campen
Arbitrator(s): Gerhard L. Schopen
Hearing Site: Denver, CO
| | |
| 11-01894 | 10/24/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Bryant Hayward
Respondent Lawyers(s): Bryant Sean Hayward
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
| | |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 10-02838 | 09/14/2011 | Claimant(s): Darrell Linder, Virginia Cooley-Linder, Cooley-Linder Retail Property, Cooley-Linder's French Quarter, Virginia C. Linder & Darrell F. Linder L
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): Larry Behrends, Capwest Securities, Workman Securities Corporation
Respondent Lawyers(s): Christopher P. Parrington, Larry I. Behrends, Orly Davidi
Arbitrator(s): Timothy E. Taggart, Avery B. Goodman, William Louis Anthes
Hearing Site: Denver, CO
| | $854,639 |
| 10-01307 | 08/31/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Garner Mabry, Todd Schwartz
Respondent Lawyers(s): John E. MacDonald
Arbitrator(s): Langdon T. Owen, Charles G. Michaels, William A. Stephenson
Hearing Site: Denver, CO
| | |
| 10-03410 | 08/26/2011 | Claimant(s): Steven Kolow
Claimant Lawyers(s): Kristen Hudson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Robert D. Greenlee, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $1,112,500 |
| 09-05551 | 08/09/2011 | Claimant(s): Michael Ohlfs
Claimant Lawyers(s): George C. Aucoin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jesse L. Miller
Arbitrator(s): Arthur E. Otten, Anita Rae Shapiro, Avery B. Goodman
Hearing Site: Denver, CO
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| 10-04044 | 08/03/2011 | Claimant(s): Michael Opp
Claimant Lawyers(s): Otto K. Hilbert
Respondent(s): KCD Financial.
Respondent Lawyers(s): Richard M. Nummi
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
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