| 07-00384 | 06/16/2008 | Claimant(s): David Clappisi, Melanie Clappisi
Claimant Lawyers(s): Patrick D. Vellone
Respondent(s): Derek Kent, Sagepoint Financial., AIG SunAmerica Inc.
Respondent Lawyers(s): John P. Glenn, William D. Nelson
Arbitrator(s): Malcolm T. Cleland, Steven Meyrich, Martha M. Walker
Hearing Site: Denver, CO
|  | $511,228 |
| 07-02336 | 06/13/2008 | Claimant(s): Mount Yale Securities, Yale Portfolio Advisors
Claimant Lawyers(s): Sven C. Collins
Respondent(s): Glenda Pemble
Respondent Lawyers(s): William Nelson
Arbitrator(s): Jonathan H. Larson, Michael A. Ruderman, Richard Djokic
Hearing Site: Denver, CO
| | |
| 07-03519 | 05/23/2008 | Claimant(s): Marc. Saunders, Terri Saunders
Claimant Lawyers(s): Kenneth B. Siegel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Susan M. Thevenet, Steven Meyrich, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 06-01384 | 05/08/2008 | Claimant(s): Susan Wickizer
Claimant Lawyers(s): Paul N. Young
Respondent(s): Jeffrey Toman, Piper Jaffray & Co.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Joseph M. Costello, Rhonda L. Rhodes, Michael A. Ruderman
Hearing Site: Denver, CO
| | $0 |
| 06-05269 | 05/07/2008 | Claimant(s): Larry Graham
Claimant Lawyers(s): Michael D. Nosler
Respondent(s): Donny Hurwitz, Kenneth Shade, Robert Gioia, Terry Hamann, AFS Brokerage.
Respondent Lawyers(s): Donny Hurwitz, Kenneth E. Shade, Robert M. Gioia, Terry W. Hamann, Terry W. Hamman
Arbitrator(s): Roger T. Felthoven, Dominic Alecci, David Butler
Hearing Site: Denver, CO
| | |
| 07-03172 | 04/23/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Scott Piper
Respondent Lawyers(s): Scott Piper
Arbitrator(s): Avery B. Goodman
Hearing Site: Denver, CO
| | |
| 07-02957 | 04/14/2008 | Claimant(s): John Phillips
Claimant Lawyers(s): John S. Lutz
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Jennifer L. Petruccelli
Arbitrator(s): Richard M. Reider, Stephen Kirk Ingebretsen, David L. Erickson
Hearing Site: Denver, CO
| | |
| 05-05902 | 02/08/2008 | Claimant(s): Larry Parker
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Citigroup Global Markets., A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning, William A. Hohauser
Arbitrator(s): Dennis Dowd, Gerhard L. Schopen, Suanne M. Parro
Hearing Site: Denver, CO
| | $0 |
| 07-00224 | 12/18/2007 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Frazier
Respondent Lawyers(s): Christopher E. Frazier
Arbitrator(s): Susan M. Huffman, Jerome C. Zackroff, George H. Reeves
Hearing Site: Denver, CO
| | |
| 06-02806 | 11/28/2007 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Jacobs
Respondent Lawyers(s): Michael F. Jacobs
Arbitrator(s): Cletus E. Byrne, Roger T. Felthoven, Carla B. Minckley
Hearing Site: Denver, CO
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