| 18-03495 | 02/15/2022 | Claimant(s): Diane Sagrillo, Robert Sagrillo
Claimant Lawyers(s): Jason J. Kane
Respondent(s): David Turner, John Vansant, Cascade Financial Management.
Respondent Lawyers(s): David Hirschberg
Arbitrator(s): Richard J. Lawrence, Baldwin Ranson, Eileen Joan Carpenter
Hearing Site: Denver, CO
|  | Expungement |
| 18-03962 | 12/24/2019 | Claimant(s): The Ilgvars J. Zallaps Family Trust
Claimant Lawyers(s): Steve A. Miller
Respondent(s): Garner Mabry, Wells Fargo Advisors Financial Network, Merrill Lynch Pierce Fenner & Smith Inc., Todd Schwartz, Schwartz Mabry Private Wealth Advisory
Respondent Lawyers(s): Bruce W. Day, Julie E. Ravis, William D. Nelson
Arbitrator(s): Jo-Marie Lisa, Baldwin Ranson, Tina Alison Davis
Hearing Site: Denver, CO
| | Dismissed by Rule 12206/12504 |
| 17-01968 | 06/15/2018 | Claimant(s): Zane Piston
Claimant Lawyers(s): John A. Gallagher
Respondent(s): Transamerica Capital.
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Anthony B. Petrelli, Steven Meyrich, Baldwin Ranson
Hearing Site: Denver, CO
| | |
| 13-02687 | 03/24/2015 | Claimant(s): Sumant Rawat, Sumant Rawat MD Keogh Profit Sharing Pla
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Donald N. Tolin, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 11-00763 | 07/09/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Paul Beninati
Respondent Lawyers(s): Max P. Minnig
Arbitrator(s): Baldwin Ranson, Bernard A. Clark, Hunter Joseph von Unschuld
Hearing Site: Denver, CO
| | |
| 10-02406 | 06/29/2012 | Claimant(s): David Schanin, Susan Schanin
Claimant Lawyers(s): Stuart Pack
Respondent(s): Katherine Larsen, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Federico C. Alvarez, Kenneth Harry Combs, Baldwin Ranson
Hearing Site: Denver, CO
| | Expungement |
| 11-01421 | 06/15/2012 | Claimant(s): Granada Enterprises., Estate of Justyn C. Rosen, Rosen Family Associates, Ltd., Rosen Investments, LLLP, Justyn C. Rosen 1988 Irrevocable Ins Tst, Justyn C. Rosen Marital Trust No. 1, Justyn C. Rosen Trust for Marian Rosen, Marsha Zimmerman Irrevocable Trust, Rosen Investment Trust No. 1, Rosen Investment Trust No. 2, Sharon Irrevocable Trust 3/1/85, Sharon J. Mandel Irrevocable Trust, Sharon Rosen Trust by Marian Rosen Trust
Claimant Lawyers(s): Michael H. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Samuel L. McClaren, Baldwin Ranson, Andrew Barton
Hearing Site: Denver, CO
| | $0 |
