| 19-00888 | 03/23/2021 | Claimant(s): Brannon McPherson
Claimant Lawyers(s): Brannon McPherson
Respondent(s): International Assets Advisory
Respondent Lawyers(s): Joshua A. Katz
Arbitrator(s): Charles A. Pease, Steven Meyrich, Richard Djokic
Hearing Site: Denver, CO
| | |
| 20-01903 | 03/12/2021 | Claimant(s): James Shoffner
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Omar Perez
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Denver, CO
| | |
| 19-03790 | 03/08/2021 | Claimant(s): Alan Wayne Friesen Revocable Trust, Jacob Gordon Jackson Revocable Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Anthony J. Borrelli
Arbitrator(s): Charles G. Michaels, Henry R Cox, Leonard M. Goldstein
Hearing Site: Denver, CO
|  | $1,044,840 |
| 19-01172 | 03/04/2021 | Claimant(s): Shirley Cummings
Claimant Lawyers(s): Eric Liebman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Michael F. Jordan, Steven Meyrich, Barry A. Fisher
Hearing Site: Denver, CO
| | $0 |
| 20-01623 | 02/01/2021 | Claimant(s): Adam Way
Claimant Lawyers(s): Zachary T. Hayes-Macaluso
Respondent(s): Northwestern Mutual Investment Services
Respondent Lawyers(s): Thomas K. Anderson
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 20-01414 | 12/04/2020 | Claimant(s): Michael Nielson
Claimant Lawyers(s): Kurt Zimmerman
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Feldstein
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
| | |
| 18-02854 | 11/25/2020 | Claimant(s): Timothy Bussey, Bussey Law Firm, P.C., Bussey Law Firm 401K Profit Sharing Pla
Claimant Lawyers(s): James R. Miller
Respondent(s): Danny Holladay, Ian Ahrendsen, Michael Clark, MML Investors Services, Llc
Respondent Lawyers(s): Derek C. Anderson, Julie E. Ravis, Michael H. Clark
Arbitrator(s): Steven Meyrich, Thomas R. Bromberg, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
| 20-00525 | 11/13/2020 | Claimant(s): Norman Lautrup
Claimant Lawyers(s): Benjamin Winograd
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): W. Preston Martin
Arbitrator(s): Michael Jeffrey Norton
Hearing Site: Denver, CO
| | |
| 19-02076 | 10/22/2020 | Claimant(s): Janice Alzado-Lotz
Claimant Lawyers(s): David Sturgeon-Garcia
Respondent(s): Mutual Securities., Aaron Jasper, Julie Cohen, Mitchell Voss, Nicholas Damiani, Ryan Sabol
Respondent Lawyers(s): Jason T. Dennett
Arbitrator(s): Charles G. Michaels, Jo-Marie Lisa, Deanna M. Tuley
Hearing Site: Denver, CO
| | Dismissed |
| 20-00958 | 10/21/2020 | Claimant(s): Kelly Stewart
Claimant Lawyers(s): Frances Menzer
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Philip J. Glick
Hearing Site: Denver, CO
| | |
