| 23-03642 | 06/25/2024 | Claimant(s): Drew Freides
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melissa J. Gworek
Arbitrator(s): Stuart Sinai, Mary C. Davis, Peter A.P. Dunlop
Hearing Site: Los Angeles, CA
| | |
| 22-02196 | 12/07/2023 | Claimant(s): Hector Mejia, Mario Arnal Reveles
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): ADP Broker-Dealer.
Respondent Lawyers(s): Leigh H. McMonigle
Arbitrator(s): Albert T. T. Cook, Mary C. Davis, Walter Steven Schwartz
Hearing Site: Albuquerque, NM
| | |
| 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
|  | $0 |
| 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
| | |
| 20-00193 | 06/14/2021 | Claimant(s): Gerellen Joneson
Claimant Lawyers(s): James N Thomaidis
Respondent(s): Mark Haenny, Matthew Hickey, First Allied Securities.
Respondent Lawyers(s): Derek C. Anderson
Arbitrator(s): Steven Meyrich, Steven M. Feder, Mary C. Davis
Hearing Site: Denver, CO
| | Expungement |
| 19-03422 | 03/26/2020 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Richard Kuhlman
Respondent(s): Sanjoy Dasgupta
Respondent Lawyers(s): Sanjoy Dasgupta
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
| | |
| 18-01845 | 03/13/2020 | Claimant(s): Yang Song
Claimant Lawyers(s): Yang Lucas Song
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Ilene T. Gormly, Mary C. Davis, Carla B. Minckley
Hearing Site: Denver, CO
| | |
| 18-00243 | 01/25/2019 | Claimant(s): Catherine Talman, Roger Talman, 1990 Talman Family Living Trust
Claimant Lawyers(s): Leslie Schwaebe Akins
Respondent(s): Wells Fargo Clearing Services, Timothy Cusick
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Thaddeus J. Tecza, Mary C. Davis, Val D. Hornstein
Hearing Site: Salt Lake City, UT
| | Expungement |
| 17-02992 | 11/05/2018 | Claimant(s): Bruce Allen
Claimant Lawyers(s): Russell D. Duncan
Respondent(s): Nations Financial Group.
Respondent Lawyers(s): William T. McCartan
Arbitrator(s): Mary C. Davis, Leonard M. Goldstein, Margaret Ann Barrington
Hearing Site: Denver, CO
| | |
| 17-00712 | 06/06/2018 | Claimant(s): Kirk Nelson
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Murray S. Levin, Philip J. Glick, Mary C. Davis
Hearing Site: Omaha, NE
| | $216,490 |
