| 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 |
| 20-00400 | 09/29/2021 | Claimant(s): John Elliott
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): Eric A. Bensky
Arbitrator(s): Marilyn R. Lewis, Rick Gale Doty, Ruth M. Moore
Hearing Site: Denver, CO
| | $2,082,150 |
| 16-00354 | 11/26/2018 | Claimant(s): C & S Whitmore Living Trust, Chad & Susan Whitmore, TTEEs
Claimant Lawyers(s): David Gaba, Patricia L. Vannoy
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Charles G. Michaels, Ruth M. Moore, Dennis C Moore
Hearing Site: Denver, CO
| | $950,752 |
