| 22-02902 | 09/06/2023 | Claimant(s): Sofi Securities LLC
Claimant Lawyers(s): Michele R. Underwood
Respondent(s): Timothy Worley
Respondent Lawyers(s): Timothy Worley
Arbitrator(s): Leonard Arthur Nelson
Hearing Site: Denver, CO
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| 23-01149 | 08/25/2023 | Claimant(s): Erik Utzinger
Claimant Lawyers(s): Erik Douglas Utzinger
Respondent(s): World Group Securities.
Respondent Lawyers(s): Susan D. Duff
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 19-02577 | 08/10/2023 | Claimant(s): K&S Trust
Claimant Lawyers(s): Gary Menzer
Respondent(s): Daniel Lempe, Presidential Brokerage.
Respondent Lawyers(s): Gary Nemer, Scott Holcomb
Arbitrator(s): Charles G. Michaels, Mary C. Davis, Nicole Green
Hearing Site: Denver, CO
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| 22-01896 | 08/10/2023 | Claimant(s): Terry Anderson
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Securities America., First Allied Securities., Capwest Securities., International Assets Advisory, J.W. Cole Financial., QA3 Financial Corp.
Respondent Lawyers(s): Dale K. Hall, Emily M. Knight, Jennifer R. Cox, Jeremy Wooden, Myra P. Nicholson, Stephen K. Wild
Arbitrator(s): Steven Meyrich, Leonard M. Goldstein, Aaron J. Haley
Hearing Site: Denver, CO
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| 23-00608 | 08/07/2023 | Claimant(s): Michael Trotter
Claimant Lawyers(s): Kevin P. Krupnick
Respondent(s): John Lowry, John Winter, Kenneth Casey, Kim Monchik, Louis Ward, Spartan Capital Securities
Respondent Lawyers(s): David A. Schrader, John Michael Winter, Kenneth Francis Casey
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
| 20-02909 | 07/17/2023 | Claimant(s): Leslie Nelson
Claimant Lawyers(s): Paul L. Vorndran
Respondent(s): Stifel, Nicolaus & Co.., Randall Minas
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Carla B. Minckley, Carol L. Roslund, Tina Alison Davis
Hearing Site: Denver, CO
| | Expungement |
| 21-02625 | 05/30/2023 | Claimant(s): Jeanette Long
Claimant Lawyers(s): Michael Melito
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Charles G. Michaels, Rey Hernandez Julian, Kimberly Johnson
Hearing Site: Denver, CO
| | Expungement |
| 22-00519 | 05/18/2023 | Claimant(s): Michael Herman
Claimant Lawyers(s): Martin M. Berliner
Respondent(s): Securities America., Hunter Wyckoff, Matthew Cloutier, Michael Baum, Mutual of Omaha Investor Services.
Respondent Lawyers(s): Derek C. Anderson, Gregory M. Curley, Martin M. Berliner, Trenten P. Bausch
Arbitrator(s): Steven M. Feder, Mary C. Davis, K. Bruce Lang
Hearing Site: Denver, CO
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| 22-02319 | 05/03/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff, John Murphy
Arbitrator(s): Leonard Arthur Nelson, Tosh Daniel Grebenik, Matthew Stalcup
Hearing Site: Denver, CO
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| 22-02320 | 03/24/2023 | Claimant(s): Timothy Kneen
Claimant Lawyers(s): James P Galvin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Frances Johnson Wright
Hearing Site: Denver, CO
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