| 08-04008 | 03/26/2010 | Claimant(s): Darren Meyer
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Magarian
Arbitrator(s): S. Lee Terry, Devra Ann Perch, Bradford J. Lam
Hearing Site: Denver, CO
| | |
| 08-02330 | 03/24/2010 | Claimant(s): Douglas Laychak, FloraAnn Milann, Helena Loewen, Jill Sendor-Laychak, Jonathan Sendor, Virginia Sendor, William Kitching
Claimant Lawyers(s): William R. Fishman
Respondent(s): Barry Amsler, Hornor, Townsend & Kent., Penn Mutual Life Insurance Company
Respondent Lawyers(s): Barry L. Amsler, George D. Fagan
Arbitrator(s): Edward F. Altman, Michael J. Norton, Avery B. Goodman
Hearing Site: Denver, CO
|  | $641,700 |
| 09-04830 | 03/03/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Charles Davey
Respondent Lawyers(s): Charles Lorne Davey
Arbitrator(s): Albert T. T. Cook
Hearing Site: Denver, CO
| | |
| 08-00852 | 02/11/2010 | Claimant(s): Multi-Financial Securities Corporation
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Angel Chi, Banc Of America Securities LLC
Respondent Lawyers(s): Angel Chi, Robert J. Anello
Arbitrator(s): Dennis R. Frohlich, Bradford J. Lam, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 08-01361 | 02/03/2010 | Claimant(s): Michael Bond and Margaret Bond
Claimant Lawyers(s): Garry R. Appel
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $244,300 |
| 07-03161 | 12/08/2009 | Claimant(s): Mark Bowman
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Wells Fargo Investments, U.S. Bancorp Investments.
Respondent Lawyers(s): John S. Lutz, Lee Merreot
Arbitrator(s): Steven Meyrich, Patti Fellows Peters, David L. Erickson
Hearing Site: Denver, CO
| | |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-02993 | 10/06/2009 | Claimant(s): Michael Pappas
Claimant Lawyers(s): Marc F. Colin
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Ann Hensler
Arbitrator(s): Gene R. Thornton, Marilyn R. Lewis, Michael A. Ruderman
Hearing Site: Denver, CO
| | |
| 08-03733 | 10/02/2009 | Claimant(s): Sharon Schoenfeld
Claimant Lawyers(s): Lisa Welch Stevens
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): S. Lee Terry, Martha Jeanne Wilcoxson, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $0 |
| 08-00368 | 09/02/2009 | Claimant(s): Ahmad Ahmadian
Claimant Lawyers(s): Ahmad Ahmadian
Respondent(s): Calvin Mason, Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Bradford J. Lam, Leon C. Tupy, Robert M. Fusfeld
Hearing Site: Denver, CO
| | $0 |
