| 09-02338 | 06/30/2010 | Claimant(s): Sally Frederick
Claimant Lawyers(s): D. Elizabeth Wills
Respondent(s): Donald Hartmann, Michael Abraham, Hallmark Consulting Group., JRL Capital Corporation
Respondent Lawyers(s): Daniel D. White, Sylvia M. Scott
Arbitrator(s): Thaddeus J. Tecza, Bruce Brown, Gregory P. Lembree
Hearing Site: Denver, CO
|  | $195,132 |
| 09-03937 | 06/25/2010 | Claimant(s): Harry Salzman
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Florence Klein, American Classic Financial Company
Respondent Lawyers(s): Philip W. Bledsoe
Arbitrator(s): Malcolm T. Cleland, Gene R. Thornton, Luis D. Rovira
Hearing Site: Denver, CO
| | $103,500 |
| 08-04049 | 06/04/2010 | Claimant(s): Christianson, Norman & Ellen
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch
Hearing Site: Denver, CO
| | $247,557 |
| 09-02725 | 06/03/2010 | Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
| | $0 |
| 09-03352 | 05/17/2010 | Claimant(s): Philip Henderson
Claimant Lawyers(s): William R. Fishman
Respondent(s): Keys Tinney, ING Financial Partners.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Paul A. Krepinski, Gerhard L. Schopen, Michael A. Ruderman
Hearing Site: Denver, CO
| | $434,445 |
| 09-03020 | 05/10/2010 | Claimant(s): Adam Lundquist, Barbara Czencz, Candice Pulliam, Carol Pulliam, Carol Wilson, David Kinard, David Minor, Dolores Ulrich, Donna Kinard, Gordon Lofshult, James Pardee, Jerry Pulliam, Joel Weissman, Julie Reese, Larry Spahr, Lindsey Morisse, Nancy Spahr, Patricia Richhart, Phyllis Lofshult, Richard Brown, et al
Claimant Lawyers(s): James S. Helfrich, Kevin Aoun
Respondent(s): Derek Kent
Respondent Lawyers(s): Derek R. Kent
Arbitrator(s): Bradford J. Lam
Hearing Site: Denver, CO
| | $933,000 |
| 09-02996 | 05/03/2010 | Claimant(s): Wedbush Morgan Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | |
| 09-00320 | 04/30/2010 | Claimant(s): Eric Ely
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime L. Haggard
Arbitrator(s): Donald N. Tolin, Martha M. Walker, Deanna M. Tuley
Hearing Site: Denver, CO
| | |
| 09-01743 | 04/23/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Corliss
Respondent Lawyers(s): Jeffrey K. Peck
Arbitrator(s): James J. Moylan
Hearing Site: Denver, CO
| | |
| 08-01816 | 04/09/2010 | Claimant(s): Emma Bufkin, The Trust Agreement of Emma Doris Bufkin
Claimant Lawyers(s): Michael P. Cillo
Respondent(s): Alton Mayeu, Merrill Lynch Pierce Fenner & Smith Inc., Sharon Bentz
Respondent Lawyers(s): Bradley B. Rounsaville, Stephen H. Kupperman
Arbitrator(s): Bruce Brown, Samuel Clinton O'Daniel, John Jerold Barrett
Hearing Site: Denver, CO
| | $85,467 |
