| 11-00064 | 08/27/2012 | Claimant(s): Dana Farmer, J. Farmer, Limpinbear Family Partnership, Ltd.
Claimant Lawyers(s): Daniel A. Wartell, Perry L. Glantz
Respondent(s): Bruce Dibiase, J.P. Morgan Securities, Peter Landgraff, J.P. Morgan Chase Bank, N.A.
Respondent Lawyers(s): Jonathan W. Rauchway
Arbitrator(s): James B. Eichberg, Lawrence J. Madden, Sheldon Edward Friedman
Hearing Site: Denver, CO
|  | Expungement |
| 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 |
| 11-00575 | 12/08/2011 | Claimant(s): Rose Gannon
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): James B. Eichberg, Richard M. Reider, Leonard M. Goldstein
Hearing Site: Denver, CO
| | $0 |
| 10-05749 | 10/11/2011 | Claimant(s): Joan Lane
Claimant Lawyers(s): William B. Hayes
Respondent(s): John Tyler, Capwest Securities.
Respondent Lawyers(s): Dale Hall, H Thomas Fehn
Arbitrator(s): Holly Stein Sollod, James B. Eichberg, Marilyn R. Lewis
Hearing Site: Denver, CO
| | $0 |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 08-04049 | 06/04/2010 | Claimant(s): Christianson, Norman & Ellen
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): James B. Eichberg, Bruce Brown, James Gary Fitch
Hearing Site: Denver, CO
| | $247,557 |
| 08-00567 | 11/17/2008 | Claimant(s): Neil Jon Tschetter & Peggy Jane Tschette
Claimant Lawyers(s): Neil Jon Tschetter
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): James B. Eichberg
Hearing Site: Cheyenne, WY
| | $0 |
| 08-01569 | 11/12/2008 | Claimant(s): John Scaramella
Claimant Lawyers(s): John Scaramella
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): James B. Eichberg, Dominic Alecci, Craig Stanley Ralston
Hearing Site: Denver, CO
| | $0 |
