| 12-00766 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin J. Smith
Respondent(s): Matthew Kallman
Respondent Lawyers(s): David R. Bohm
Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs
Hearing Site: St. Louis, MO
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| 12-04357 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa M. Lewis
Respondent(s): Deanna Kakouris
Respondent Lawyers(s): Deanna Zimmer Kakouris
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 12-03103 | 02/13/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Mark Green
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Monette E. Draper
Hearing Site: St. Louis, MO
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| 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 |
| 11-00591 | 12/13/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Whitney Kenter
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Albert J. Haller, R. Phillip Reed, David J. Bokal
Hearing Site: St. Louis, MO
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| 09-06855 | 04/20/2012 | Claimant(s): Christopher Noonan, Stephen Patton, Thomas Noonan
Claimant Lawyers(s): Scott C. Helmholz, Steven W. Koslovsky
Respondent(s): Morgan Stanley, William Lee
Respondent Lawyers(s): David W. Schmidt
Arbitrator(s): Thomas J. Ray, Jesse David Hill, Donald W. Moriarty
Hearing Site: St. Louis, MO
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| 11-03996 | 02/06/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Richard H. Kuhlman
Respondent(s): Bruce Barnhart, Daun Braswell, Keegan Baygents
Respondent Lawyers(s): Jonathan F. Andres
Arbitrator(s): Paul M. Foster, Michael L. Lyons, Keith E. Mattern
Hearing Site: St. Louis, MO
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| 10-02109 | 09/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Susan Steckler
Respondent Lawyers(s): Susan Nell Rowe
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
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| 09-02264 | 07/22/2011 | Claimant(s): Smith, Moore & Co.
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Michael P. Manley
Arbitrator(s): Frederick Michael Switzer, James M. Stern, David A. Fingerhut
Hearing Site: St. Louis, MO
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| 10-01332 | 05/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Walter McKinney
Respondent Lawyers(s): Graham Oswald
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
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