| 13-02875 | 06/05/2015 | Claimant(s): Christopher Wright
Claimant Lawyers(s): David B. Helms
Respondent(s): Northwestern Mutual Investment Services,, Northwestern Mutual Life Insurance Co.
Respondent Lawyers(s): Stefan R. Dandelles
Arbitrator(s): Gerald Cohen, Joseph V. Simeri, Julie L. DeWitt
Hearing Site: St. Louis, MO
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| 14-02840 | 05/22/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
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| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
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| 14-01335 | 11/26/2014 | Claimant(s): John McHugh
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 13-02272 | 10/03/2014 | Claimant(s): Keith Clay
Claimant Lawyers(s): Reggie Copeland
Respondent(s): Edward Jones
Respondent Lawyers(s): Trish Martin
Arbitrator(s): Walter N. Vernon, Robert J. Bohle, Harold E. MacFarland
Hearing Site: St. Louis, MO
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| 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
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| 13-02273 | 07/17/2014 | Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
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| 13-02928 | 06/24/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s): Kieran Gutting
Respondent Lawyers(s): Anthony S. Bretz
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
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| 12-02102 | 06/04/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Anthony J. Soukenik, R. Phillip Reed, Jennifer McGillivary
Hearing Site: St. Louis, MO
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| 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
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