| 17-02993 | 05/22/2018 | Claimant(s): Richard Homuth
Claimant Lawyers(s): Eric Litow
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): John R. Loss
Hearing Site: Kansas City, MO
| | |
| 15-02708 | 01/13/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory M. Starner
Respondent(s): Brian Docking, Donald Barry, Jill Docking, Kevin Mcwhorter, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Jonathan Miller
Arbitrator(s): Bill M. Lamoreaux, Bruce Burditt, John R. Loss
Hearing Site: Wichita, KS
| | |
| 15-03306 | 05/04/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Thipp Ratsaboutseua
Respondent Lawyers(s): Thipp Ratsaboutseua
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 14-02589 | 11/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jon Gilstrap
Respondent Lawyers(s): Jon Russel Gilstrap
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 12-03308 | 07/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Justin McBride
Respondent Lawyers(s): James B. Koch
Arbitrator(s): Gerald Cohen, Christopher J. Janson, John R. Loss
Hearing Site: St. Louis, MO
| | |
| 13-00170 | 02/14/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa Lewis
Respondent(s): Darren Warden
Respondent Lawyers(s): Darren Neal Warden
Arbitrator(s): Frederick Michael Switzer, John R. Loss, Matthew R. Salamon
Hearing Site: St. Louis, MO
| | |
| 13-01853 | 02/11/2014 | Claimant(s): Ryan White
Claimant Lawyers(s): Ryan Arther White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | |
| 12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss
Hearing Site: Omaha, NE
| | |
| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
