| 17-01750 | 07/27/2018 | Claimant(s): Jason Smitka
Claimant Lawyers(s): Jerry D. Rank
Respondent(s): Mark Roberts, Michael Tuma, Affinity Asset Management, Client One Securities LLC
Respondent Lawyers(s): John Jackson Miller, Roger N. Walter
Arbitrator(s): Lonnie L. Cunningham, Susan L. Walker, Steven Joseph Streen
Hearing Site: Kansas City, MO
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| 18-00098 | 07/20/2018 | Claimant(s): George Meyer
Claimant Lawyers(s): N. Nancy Ghabai
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Jon Kaplon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
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| 17-02652 | 05/21/2018 | Claimant(s): Andrew Seaborg
Claimant Lawyers(s): MIchael Bessett
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Michael W. Arnold
Arbitrator(s): Susan L. Walker
Hearing Site: Milwaukee, WI
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| 18-00740 | 04/27/2018 | Claimant(s): Chad Hartup, William Murphy
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig A. Vollono
Arbitrator(s): Susan L. Walker
Hearing Site: Cleveland, OH
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| 17-01660 | 03/26/2018 | Claimant(s): Melissa Neeley
Claimant Lawyers(s): Sam Alton
Respondent(s): Larson Financial Securities
Respondent Lawyers(s): Sean O'Hanlon
Arbitrator(s): Susan L. Walker
Hearing Site: St. Louis, MO
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| 16-03595 | 03/06/2017 | Claimant(s): Sean Moran
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 16-00215 | 11/23/2016 | Claimant(s): Sol Demuth
Claimant Lawyers(s): Sean P. Patrick
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Patrick M. Smith
Arbitrator(s): Susan L. Walker, Jules Ira Crystal, Patrick Kassen
Hearing Site: Chicago, IL
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| 15-03253 | 07/26/2016 | Claimant(s): Leonard Johnson
Claimant Lawyers(s): Leonard T Johnson
Respondent(s): Ryan Moratti
Respondent Lawyers(s): Martin Harris
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 16-00632 | 06/29/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Robert Batchen
Respondent Lawyers(s): Robert James Batchen
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 15-01456 | 05/26/2016 | Claimant(s): Roy Cook
Claimant Lawyers(s): Shomson Moskowitz
Respondent(s): Wolf Financial Management
Respondent Lawyers(s): Natalie Federle
Arbitrator(s): Kevin J. Conway, Lynn Hirschfeld Brahin, Susan L. Walker
Hearing Site: Chicago, IL
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