| 08-01569 | 11/12/2008 | Claimant(s): John Scaramella
Claimant Lawyers(s): John Scaramella
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): James B. Eichberg, Dominic Alecci, Craig Stanley Ralston
Hearing Site: Denver, CO
|  | $0 |
| 08-00112 | 10/31/2008 | Claimant(s): Brandon Henry
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Cascade Financial Management.
Respondent Lawyers(s): Vance O. Knapp
Arbitrator(s): Judith Ferris Witthohn, Charles A. Newton, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | |
| 07-02794 | 10/21/2008 | Claimant(s): Annika Clark
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Derek Kent, Sagepoint Financial.
Respondent Lawyers(s): Gene R. Thornton, William D. Nelson
Arbitrator(s): Robert D. Greenlee, John E. Plock, Bernard A. Clark
Hearing Site: Denver, CO
| | $549,918 |
| 08-00213 | 09/12/2008 | Claimant(s): Kamiar Saeedian
Claimant Lawyers(s): Kamiar Saeedian
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): S. Lee Terry
Hearing Site: Denver, CO
| | $125 |
| 08-00418 | 09/10/2008 | Claimant(s): David Hargreaves
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CUSO Financial Services, L.P., Financial Network Investment Corporation
Respondent Lawyers(s): Jonathan A. Boynton, Stephen E. Csajaghy
Arbitrator(s): Richard M. Reider, Arthur E. Otten, Peter G. Bowen
Hearing Site: Denver, CO
| | $0 |
| 07-01765 | 08/13/2008 | Claimant(s): Charles Westley, Mary Westley, Charles Ross Westley Life Ins. Revoc., Westley Living Trust
Claimant Lawyers(s): James S. Helfrich
Respondent(s): All-Vest Securities.
Respondent Lawyers(s): Richard Virzera
Arbitrator(s): Michelle D. Conklin, Thomas R. Bromberg, James Gary Fitch
Hearing Site: Denver, CO
| | $133,000 |
| 07-03083 | 08/12/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Anthony Russo
Respondent Lawyers(s): Anthony Russo
Arbitrator(s): Larry D. Hayden
Hearing Site: Denver, CO
| | |
| 07-02896 | 07/18/2008 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Milnor H. Senior
Respondent(s): Christopher Bateman
Respondent Lawyers(s): Christopher Bateman
Arbitrator(s): Holly Stein Sollod, Michael J. Norton, Dennis G. Kruse
Hearing Site: Denver, CO
| | $0 |
| 06-04830 | 07/03/2008 | Claimant(s): Jose Padilla
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance.
Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington
Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston
Hearing Site: Denver, CO
| | |
| 07-00074 | 07/03/2008 | Claimant(s): Daryl Scheaffer, Jane Specketer, John Hartman, Leslie Davis, Linda Scheaffer, Paul Prymak, Ritchie Smith, Tedd Sabus, Anthony J. and Patricia A. Pisani, Christopher D. and Sandra M. Olson, Darrel W. and Vera J. Longley, Daryl and Linda Scheaffer, John and Lillian Prymak, Preston and Sheila Smith, Richard Brice & Paula Higgens-Brice, Robert and Brenda Daley, Robert and Evelyn Toro, Robert and Velva Weston, William E. and Toni A. Brock, Rev. Living Trust of Sammy J. Martinez
Claimant Lawyers(s): William R. Fishman
Respondent(s): Mutual Service Corporation, Contemporary Financial Solutions
Respondent Lawyers(s): Craig Bockman
Arbitrator(s): Susan M. Thevenet, Deanna M. Tuley, Patti Fellows Peters
Hearing Site: Denver, CO
| | $919,740 |
