| 21-02983 | 08/14/2024 | Claimant(s): Herbert White, Suzanne Charrin
Claimant Lawyers(s): David Olsky
Respondent(s): Brian Marston, Kimberly Dale
Respondent Lawyers(s): James N. Thomaidis, Patrick Gillette
Arbitrator(s): Charles G. Michaels, Adam Michael Porter, Robert Lee Walters
Hearing Site: Denver, CO
| | |
| 23-02310 | 07/08/2024 | Claimant(s): Michael Mcgregor
Claimant Lawyers(s): Harris Freedman
Respondent(s): Harrison Douglas.
Respondent Lawyers(s): Doouglas W. Schriner
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-02858 | 06/14/2024 | Claimant(s): Amy Duncan
Claimant Lawyers(s): Peter Lindholm
Respondent(s): Moloney Securities Co..
Respondent Lawyers(s): Matthew D. Turner
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-01345 | 05/01/2024 | Claimant(s): Alexander Hackley
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Jennifer R. Cox
Arbitrator(s): Martin M. Berliner, Leonard M. Goldstein, Adam Michael Porter
Hearing Site: Denver, CO
| | |
| 23-00561 | 11/02/2023 | Claimant(s): Jack Brkich
Claimant Lawyers(s): Jessica E. Levine
Respondent(s): Cetera Advisors LLC
Respondent Lawyers(s): David Smitham
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
| | |
| 21-03046 | 02/10/2023 | Claimant(s): Anne Holland-McCowan
Claimant Lawyers(s): Aaron Lee Arndt
Respondent(s): Andrew Hess, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Brian T. Burns
Arbitrator(s): Joseph Winter, Kenneth M. Weinman, Adam Michael Porter
Hearing Site: Los Angeles, CA
|  | Expungement |
| 22-00058 | 11/17/2022 | Claimant(s): Bhadresh Shah
Claimant Lawyers(s): Avinoam Rosenfeld
Respondent(s): UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John Murphy, W. Preston Martin
Arbitrator(s): Robert Rosen, Adam Michael Porter, Yvonne YingFan Yiu
Hearing Site: Los Angeles, CA
| | |
| 20-00861 | 04/08/2022 | Claimant(s): George Lyles
Claimant Lawyers(s): George W. Lyles
Respondent(s): Jacob Mohr, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Peter Pound, Thomas M. McHugh
Arbitrator(s): Robert Rosen, David L. Moran, Adam Michael Porter
Hearing Site: Las Vegas, NV
| | Expungement |
| 21-00074 | 12/29/2021 | Claimant(s): Xiujuan Zhu Roth IRA, Zhiming Lu Roth IRA
Claimant Lawyers(s): Michael Hill
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Adam Michael Porter
Hearing Site: Denver, CO
| | $30,225 |
| 21-01660 | 12/28/2021 | Claimant(s): Arec Simeri
Claimant Lawyers(s): Nathan C. Volheim
Respondent(s): Robinhood Financial.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Adam Michael Porter
Hearing Site: Los Angeles, CA
| | $63 |
