| 21-00642 | 08/25/2021 | Claimant(s): Adam Way
Claimant Lawyers(s): Zachary Hayes-Macaluso
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Hazel E. Hanley
Hearing Site: Denver, CO
| | |
| 16-00012 | 06/20/2018 | Claimant(s): Robert Hernreich, R. Hernreich 1987 Family Trust, R. Hernreich Charitable Remainder Trst 1, R. Hernreich Charitable Remainder Trst 2, R. Hernreich Charitable Remainder Trst 3, R. Hernreich Charitable Remainder Trst 4, R. Hernreich Charitable Remainder Trst 5, Robert E. Hernreich 2005 Trust
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Jason R. Lindsay
Arbitrator(s): Charles G. Michaels, Donald N. Tolin, Hazel E. Hanley
Hearing Site: Denver, CO
|  | Expungement |
| 17-01628 | 04/09/2018 | Claimant(s): James Myers
Claimant Lawyers(s): James O. Myers
Respondent(s): Yosef Fox
Respondent Lawyers(s): Yosef Yehuda Fox
Arbitrator(s): Steven Meyrich, Hazel E. Hanley, Jeffrey Thomas
Hearing Site: Denver, CO
| | $125,000 |
| 11-03863 | 10/10/2013 | Claimant(s): Frances Salazar
Claimant Lawyers(s): Eric D. Norvell
Respondent(s): John Strange, Metlife Securities Inc.
Respondent Lawyers(s): Jamie B. Palfai
Arbitrator(s): Barry H. Barnett, Mary C. Davis, Hazel E. Hanley
Hearing Site: Albuquerque, NM
| | $0 |
| 10-02253 | 03/27/2012 | Claimant(s): ICON Advisers., ICON Management & Research Corporation, Icon Distributors.
Claimant Lawyers(s): Bradford J. Lam, Donald Salcito
Respondent(s): Craig Callahan, Stephen Holmes, Adviser Dealer Services., Meeder Asset Management., Meeder Financial.
Respondent Lawyers(s): Darren Nadel, Derek Anderson, Stephen Abrams
Arbitrator(s): Bruce Brown, Edward F. Altman, Hazel E. Hanley
Hearing Site: Denver, CO
| | |
| 11-00127 | 12/14/2011 | Claimant(s): Darleen Simpson, Norbert Simpson
Claimant Lawyers(s): Thomas J. Wolf
Respondent(s): Michael Abraham
Respondent Lawyers(s): David A. Zisser
Arbitrator(s): James B. Eichberg, Ronald G. Guida, Hazel E. Hanley
Hearing Site: Denver, CO
| | $0 |
| 09-06394 | 11/18/2010 | Claimant(s): David Earl, Estate of Sophie H. Bebb
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Morgan Stanley & Co., Nancy Mercado
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Bruce Brown, Daniel E. Wright, Hazel E. Hanley
Hearing Site: Denver, CO
| | $300 |
