| 09-05196 | 11/19/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): John Lutz
Respondent(s): George Garro, Jon Metzger, SMH Capital Inc.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson
Hearing Site: Denver, CO
| | |
| 09-06394 | 11/18/2010 | Claimant(s): David Earl, Estate of Sophie H. Bebb
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Morgan Stanley & Co., Nancy Mercado
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Bruce Brown, Daniel E. Wright, Hazel E. Hanley
Hearing Site: Denver, CO
|  | $300 |
| 09-05435 | 11/16/2010 | Claimant(s): Arlene McAdam, Charles McAdam
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Wachovia Securities, John Waite
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): William F. Skewes, Marilyn R. Lewis, Edward Allan Hindman
Hearing Site: Denver, CO
| | $100,300 |
| 09-03802 | 11/15/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO
| | |
| 10-00080 | 11/15/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO
| | |
| 09-04439 | 11/08/2010 | Claimant(s): Alice Potter
Claimant Lawyers(s): David Liebrader
Respondent(s): Clyde Benninghoff
Respondent Lawyers(s): Arthur I. Jacobs
Arbitrator(s): Susan M. Thevenet, Paul A. Krepinski, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $873,518 |
| 08-04441 | 10/15/2010 | Claimant(s): Debra White
Claimant Lawyers(s): John White
Respondent(s): CapWest Securities., Capstone Financial Group.
Respondent Lawyers(s): Gregory Sherwin
Arbitrator(s): Dennis Dowd, Steven Meyrich, Thomas R. Bromberg
Hearing Site: Denver, CO
| | |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 09-06313 | 07/28/2010 | Claimant(s): James D. and Janet D. Cary
Claimant Lawyers(s): James D. Cary
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula McManus
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Denver, CO
| | $7,890 |
| 09-03329 | 07/15/2010 | Claimant(s): Maria Guajardo, Samir Chaman
Claimant Lawyers(s): Patrick J Kanouff
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Gregory D. Thomas, Paul A. Krepinski, David L. Erickson
Hearing Site: Denver, CO
| | $500,000 |
