| 20-04110 | 08/31/2022 | Claimant(s): Anne Behm, Joseph Behm, Anne Behm on behalf of her IRA, Anne Behm on behalf of her TOD account, Joseph Behm on behalf of his IRA, Joseph Behm on behalf of his TOD account
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Cambridge Investment Research., Neal Thompson, Harbour Investments.
Respondent Lawyers(s): David A. Genelly, Lindsay Wuller Aggarwal, Mark L. Kowalsky
Arbitrator(s): Milton N. Gross, Ruth M. Moore, John F Mencer
Hearing Site: Denver, CO
|  | Expungement |
| 17-02814 | 07/26/2022 | Claimant(s): Mid Atlantic Capital Corporation
Claimant Lawyers(s): Erin Timmerman
Respondent(s): Craig Hayward
Respondent Lawyers(s): Giovanni M. Ruscitti
Arbitrator(s): Donald N. Tolin, Martha Jeanne Wilcoxson, Richard Djokic
Hearing Site: Denver, CO
| | |
| 20-02510 | 06/17/2022 | Claimant(s): Robert Ihrig, Susan Ihrig
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
| | $12,000 |
| 21-02200 | 04/14/2022 | Claimant(s): Keys Tinney
Claimant Lawyers(s): Harris Freedman
Respondent(s): Voya Financial Advisors.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 21-01912 | 03/28/2022 | Claimant(s): Julie Johnson
Claimant Lawyers(s): James P. Galvin
Respondent(s): UBS Financial Services Inc., Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff, John Murphy
Arbitrator(s): Philip J. Glick, Michael Jeffrey Norton, Gregory M. Scanlon
Hearing Site: Denver, CO
| | |
| 19-02374 | 03/07/2022 | Claimant(s): J. Leland Langston
Claimant Lawyers(s): Kristian Kraszewski
Respondent(s): Reid & Rudiger LLC
Respondent Lawyers(s): Joel S. Forman
Arbitrator(s): Donald N. Tolin, Thomas R. Bromberg, Julie Judith Lurman Joly
Hearing Site: Denver, CO
| | Expungement |
| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
| | Expungement |
| 21-01041 | 12/29/2021 | Claimant(s): Brian O'Neil
Claimant Lawyers(s): Jeffrey R. Thomas
Respondent(s): Triad Advisors LLC
Respondent Lawyers(s): James V. Noblett
Arbitrator(s): Richard M. Reider, Steven Meyrich, Mari C. Bush
Hearing Site: Denver, CO
| | |
| 21-00074 | 12/29/2021 | Claimant(s): Xiujuan Zhu Roth IRA, Zhiming Lu Roth IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | $30,225 |
| 20-03918 | 12/17/2021 | Claimant(s): Howard Hill
Claimant Lawyers(s): Zachary Morse
Respondent(s): World Capital Brokerage.
Respondent Lawyers(s): David von Gunten
Arbitrator(s): Richard Djokic
Hearing Site: Denver, CO
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