17-01263 | 02/16/2018 | Claimant(s): Louis Tilchin Claimant Lawyers(s): Dochtor Kennedy Respondent(s): Pruco Securities. Respondent Lawyers(s): Alan S. Brodherson Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | |
16-02377 | 01/23/2017 | Claimant(s): Bradford Smith Claimant Lawyers(s): Mark Appleton Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Bryce Cullinane Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $300 |
16-02292 | 12/20/2016 | Claimant(s): Sheila Masley Claimant Lawyers(s): Marnie C. Lambert Respondent(s): Peter Roe Respondent Lawyers(s): Jonathan R. Reich Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $300 |
16-01900 | 11/02/2016 | Claimant(s): Jeffrey Owen Roth IRA, Wendy Heywood Roth IRA Claimant Lawyers(s): Gary Menzer Respondent(s): Geneos Wealth Management. Respondent Lawyers(s): Michelle M. Atlas Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $0 |
16-00846 | 08/12/2016 | Claimant(s): Christopher Warswick Claimant Lawyers(s): Molly J. Henry Respondent(s): E*Trade Securities LLC Respondent Lawyers(s): Meredith F. Hoffman Arbitrator(s): James B. Eichberg, Gene R. Thornton, Francis Joseph Raucci Hearing Site: Salt Lake City, UT
| | |
14-01468 | 05/19/2015 | Claimant(s): Lynda Richardson Claimant Lawyers(s): Amedeo Greco Respondent(s): Morgan Stanley, Paul Shoemaker, Sandra Murri Johnson Respondent Lawyers(s): Debra Achkire Arbitrator(s): James B. Eichberg, Paul E. Dahlman, J. Robert Brown Hearing Site: Salt Lake City, UT
| | $25,000 |
14-00635 | 02/06/2015 | Claimant(s): Julie Schmidt Claimant Lawyers(s): Jeffrey D. Pederson Respondent(s): Frank Black, Southeast Investments, N.C.. Respondent Lawyers(s): Frank H. Black, Frank Harmon Black Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $52,152 |
14-01128 | 10/01/2014 | Claimant(s): David Pihlgren Claimant Lawyers(s): David Pihlgren Respondent(s): TD Ameritrade. Respondent Lawyers(s): Meagan A. Lamberti Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | $0 |
12-02652 | 09/06/2013 | Claimant(s): Irene Resnick, U/A DTD 7/2/91 by Irene Resnick Claimant Lawyers(s): Jeffrey Pederson Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Joel M. Everest Arbitrator(s): James B. Eichberg Hearing Site: Denver, CO
| | Expungement |
12-01793 | 05/02/2013 | Claimant(s): Donald Soards Claimant Lawyers(s): Donald E. Soards Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Jennifer R. Willey Arbitrator(s): James B. Eichberg, Ronald G. Guida, David L. Erickson Hearing Site: Albuquerque, NM
| | $0 |