| 15-00578 | 12/13/2017 | Claimant(s): Kelley Keys Best
Claimant Lawyers(s): Kelley Keys Best
Respondent(s): John Herpers, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Megan Roberts
Arbitrator(s): Gregory G. Gocek, Thomas L. Dueber, Margaret Ann Barrington
Hearing Site: Denver, CO
|  | $0 |
| 13-03501 | 06/10/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Daniel Violette, Daniel M. Violette IRA Rollover
Respondent Lawyers(s): Timothy Dennin
Arbitrator(s): Martha Jeanne Wilcoxson, Thomas L. Dueber, David L. Erickson
Hearing Site: Denver, CO
| | Expungement |
| 11-04019 | 10/22/2013 | Claimant(s): Jason Duhon
Claimant Lawyers(s): William M. Fontenot
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric D. Raphan
Arbitrator(s): Robert O. Halbert, Thomas L. Dueber, Richard Djokic
Hearing Site: Salt Lake City, UT
| | |
| 11-04331 | 03/07/2013 | Claimant(s): Dale Stamer, Dan Schroeder, Darla Severding, David Steinke, Dennis Tucker, Dianna Sheets, Don Severding, Donna Medinger, Grant Christianson, Jerry Hartnell, Julie Schroeder, Kirk Sims, Lori Baylor, Michael Stamer, Neil Case, Pat Tucker, Patricia O'Callaghan, Randy Kingery, Richard Beltz, Rita Beltz, et al
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Cory D. Olson
Arbitrator(s): Leo G. Stern, Thomas L. Dueber, Grant D. Sanders
Hearing Site: Des Moines, IA
| | $0 |
| 10-03431 | 11/17/2011 | Claimant(s): Cara Pessel, Eric Pessel, Jason Pessel, David Pessel IRA, David Pessel Roth IRA, Eric Pessel IRA, Jason Pessel IRA, Jason Pessel Roth IRA, Rhona Pessel IRA, Rhona Pessel Roth IRA, Eric Pessel Trust Account, Sylvia Stiftel Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Charles G. Michaels, Thomas L. Dueber, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | $41,855 |
| 09-02725 | 06/03/2010 | Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
| | $0 |
