| 22-01078 | 02/17/2023 | Claimant(s): Jason Burkett
Claimant Lawyers(s): Zachary Morse
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Murphy
Arbitrator(s): Frederick Ramos
Hearing Site: Cheyenne, WY
| | |
| 22-00740 | 01/09/2023 | Claimant(s): Edwin Hodder
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Leyla Bari
Arbitrator(s): Daniel M. Yamshon
Hearing Site: Cheyenne, WY
| | |
| 19-02688 | 08/12/2021 | Claimant(s): Deborah Koch, Kenneth Koch, Deborah J. Koch Roth IRA, Kenneth Koch II IRA, Kenneth Koch II Roth IRA, Koch Holdings LLLP
Claimant Lawyers(s): Dietrich Epperson
Respondent(s): Raymond James Financial Services., Monica Baldwin
Respondent Lawyers(s): Katherine L. Handy
Arbitrator(s): Marilyn R. Lewis, Deanna M. Tuley, Julia Yael Ramos
Hearing Site: Cheyenne, WY
|  | $165,000 |
| 20-02673 | 03/18/2021 | Claimant(s): Bradley Thompson
Claimant Lawyers(s): Harris Freedman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Brian Harlan
Arbitrator(s): Helen Marinak Blohm
Hearing Site: Cheyenne, WY
| | |
| 16-00512 | 07/24/2017 | Claimant(s): John Keck, Kathleen Keck
Claimant Lawyers(s): Patrick J. Crank
Respondent(s): Bryan Pedersen, Jacqueline Georgio Westover, Paul Howard, RBC Capital Markets LLC
Respondent Lawyers(s): Adrian P. Castro, John S. Lutz
Arbitrator(s): Larry D. Hayden, Richard Djokic, Thomas R. Bromberg
Hearing Site: Cheyenne, WY
| | $559,612 |
| 12-02070 | 12/09/2013 | Claimant(s): Kenneth Burton, Michelle Burton, Burton Construction.
Claimant Lawyers(s): Moshe Y. Singer
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Michael J. Sullivan
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Cheyenne, WY
| | Expungement |
| 08-03362 | 04/21/2009 | Claimant(s): Kathy Sechrist
Claimant Lawyers(s): Kathy Sechrist
Respondent(s): E* Trade Secuities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Avery B. Goodman
Hearing Site: Cheyenne, WY
| | $675 |
| 08-00567 | 11/17/2008 | Claimant(s): Neil Jon Tschetter & Peggy Jane Tschette
Claimant Lawyers(s): Neil Jon Tschetter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James B. Eichberg
Hearing Site: Cheyenne, WY
| | $0 |
| 05-06525 | 06/18/2008 | Claimant(s): George Busse, Yvonne Busse, George D. Busse Trust
Claimant Lawyers(s): Lawrence L. Klayman
Respondent(s): D.A. Davidson & Co.
Respondent Lawyers(s): Curt Roy Hineline
Arbitrator(s): John E. Plock, Richard J. Lawrence, Martha Jeanne Wilcoxson
Hearing Site: Cheyenne, WY
| | $0 |
