| 18-00294 | 12/18/2018 | Claimant(s): Kent Pearce
Claimant Lawyers(s): Armin Sarabi
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Sarah K. Yates
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
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| 15-02760 | 03/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Richard Ewalt
Respondent Lawyers(s): Richard Lee Ewalt
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | |
| 12-00492 | 05/29/2014 | Claimant(s): Bobb Meckenstock
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): James Livingston, Scott Romine, National Planning Corporation
Respondent Lawyers(s): Ross A. Anderson
Arbitrator(s): Thomas B. Phillips, James A. Hayes, Van R. Oliver
Hearing Site: Wichita, KS
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| 13-01533 | 05/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Middleton
Respondent Lawyers(s): John J. Miller
Arbitrator(s): Thomas J. Ray, Sandra K. Hummel, James A. Hayes
Hearing Site: Kansas City, MO
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| 12-00980 | 03/20/2013 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nathan R. Howard
Respondent(s): John Cavanaugh
Respondent Lawyers(s): John Anthony Cavanaugh
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
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| 06-01350 | 11/27/2007 | Claimant(s): Barbara Kesterson
Claimant Lawyers(s): John L. Hampton
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Kathleen Dedenbach
Arbitrator(s): David A. Nixon, James A. Hayes, Michael A. Kleinman
Hearing Site: Kansas City, MO
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