| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
|  | Expungement |
| 10-00802 | 08/02/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): John Birrenkott
Respondent Lawyers(s): John M. Birrenkott
Arbitrator(s): James J. Moylan, Marc H. Schtul, James J. Ashe
Hearing Site: Denver, CO
| | |
| 09-03297 | 04/11/2011 | Claimant(s): Gerald Hosier, Jerry Jr., Brush Creek Capital LLC, Gerald D. Hosier UAD 10/04/99
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): Malcolm T. Cleland, Marc H. Schtul, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $54,106,000 |
| 09-06444 | 01/19/2011 | Claimant(s): Brian Casson, Patricia Casson
Claimant Lawyers(s): Miles M. Gersh
Respondent(s): James Mitchell, John Guyette, Thomas Miller, Community Bankers Securities
Respondent Lawyers(s): James M. Mitchell, Jeffrey J. Scott, John Brady Guyette, Steven S. Biss
Arbitrator(s): James J. Moylan, Marc H. Schtul, Bradford J. Lam
Hearing Site: Denver, CO
| | $762,000 |
| 08-04600 | 07/31/2009 | Claimant(s): Susan Regan, Susan M. Regan Trust
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Scott Kozak, Multi-Financial Securities Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes
Hearing Site: Denver, CO
| | $52,050 |
