| 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
| | |
| 21-00237 | 11/05/2021 | Claimant(s): ACAP Financial Inc.
Claimant Lawyers(s): David S. Hunt
Respondent(s): Kirk Ferguson, Alpine Securities Corporation
Respondent Lawyers(s): David S. Hunt, Maranda E. Fritz
Arbitrator(s): Richard M. Reider, Knute Arthur Rife, Kevin Edward Anthony
Hearing Site: Salt Lake City, UT
| | |
| 11-04283 | 07/25/2013 | Claimant(s): Craig Bollman, Aristek Properties, Homefree Village Resorts., Monte Vista, Proteus Associates
Claimant Lawyers(s): Jeffrey J. Scott, Richard J. Pocker
Respondent(s): Marshall Blake, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah R. Wolff
Arbitrator(s): Richard M. Reider, Donald N. Tolin, Suanne M. Parro
Hearing Site: Denver, CO
|  | Expungement |
| 11-02126 | 11/14/2012 | Claimant(s): Ronald Daurio
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): James Doidge, Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): William F. Skewes, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $70,375 |
| 10-02760 | 08/28/2012 | Claimant(s): Bernard Witkin, Sharon Witkin, Bernard Witkin IRA, Sharon E. Witkin IRA
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Citigroup Global Markets., Morgan Stanley & Co.
Respondent Lawyers(s): Debra (Volland) Achkire, Joseph L. Calabrese
Arbitrator(s): Richard M. Reider, Marilyn R. Lewis, Matthew Maurice Wolf
Hearing Site: Denver, CO
| | Expungement |
| 11-00575 | 12/08/2011 | Claimant(s): Rose Gannon
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): James B. Eichberg, Richard M. Reider, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $0 |
| 10-03410 | 08/26/2011 | Claimant(s): Steven Kolow
Claimant Lawyers(s): Kristen Hudson
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Robert D. Greenlee, Richard M. Reider, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $1,112,500 |
| 08-00418 | 09/10/2008 | Claimant(s): David Hargreaves
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CUSO Financial Services, L.P., Financial Network Investment Corporation
Respondent Lawyers(s): Jonathan A. Boynton, Stephen E. Csajaghy
Arbitrator(s): Richard M. Reider, Arthur E. Otten, Peter G. Bowen
Hearing Site: Denver, CO
| | $0 |
| 07-02957 | 04/14/2008 | Claimant(s): John Phillips
Claimant Lawyers(s): John S. Lutz
Respondent(s): Lincoln Financial Distributors.
Respondent Lawyers(s): Jennifer L. Petruccelli
Arbitrator(s): Richard M. Reider, Stephen Kirk Ingebretsen, David L. Erickson
Hearing Site: Denver, CO
| | |
