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FINRA Awards for St. Louis, MO

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Displaying 91-100 out of 108 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0136504/06/2011Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO
09-0221603/01/2011Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO
10-0436002/15/2011Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
09-0613201/03/2011Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Miller
Respondent Lawyers(s): Robert Douglas Miller
Arbitrator(s): David A. Youngerman
Hearing Site: St. Louis, MO
09-0600112/31/2010Claimant(s): Hans-Dieter Neuen
Claimant Lawyers(s): Ira M. Potter
Respondent(s): Equity Concepts., Smith, Moore & Co.
Respondent Lawyers(s): Daniel E. Diemer, M. Jane Matoesian
Arbitrator(s): Keith E. Mattern, Joseph P. Keaveny, James M. Stern
Hearing Site: St. Louis, MO
09-0088203/01/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Daniel Henrichs
Respondent Lawyers(s): Susan K. Roach
Arbitrator(s): Gerald Cohen, Sean Patrick Abernathy, David B. Lacks
Hearing Site: St. Louis, MO
07-0216202/26/2010Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher J. Carney
Respondent(s): Robert Miller, Thipp Ratsaboutseua
Respondent Lawyers(s): Robert D. Miller, Thipp Ratsaboutseua
Arbitrator(s): Anthony J. Soukenik, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
06-0500212/30/2009Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Jeffrey Myers
Respondent Lawyers(s): Jeffrey Myers
Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon
Hearing Site: St. Louis, MO
08-0079106/08/2009Claimant(s): Michael Grimes, Financial Solutions and Associates.
Claimant Lawyers(s): Steve W. Koslovsky
Respondent(s): Barrington Capital Management.
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Julius Z. Frager, Mark E. Kessinger, David B. Lacks
Hearing Site: St. Louis, MO
08-0466606/03/2009Claimant(s): Larry Wilbanks
Claimant Lawyers(s): Larry Stephen Wilbanks
Respondent(s): Hancock Securities Group
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): William Stark Port
Hearing Site: St. Louis, MO

108 Results

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