| 18-00020 | 08/30/2018 | Claimant(s): Marlis Gilbert
Claimant Lawyers(s): Michael Bessette
Respondent(s): FSC Securities Corporation, VSR Financial Services.
Respondent Lawyers(s): Bradley A. Fishman, Christina Vourakis
Arbitrator(s): Michael J. Meeusen
Hearing Site: Des Moines, IA
| | |
| 17-01960 | 04/06/2018 | Claimant(s): John Long
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Shelley Davenport
Arbitrator(s): Gerald W. Hepp
Hearing Site: Des Moines, IA
| | |
| 14-01821 | 07/01/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Primrose
Respondent Lawyers(s): Mark Primrose
Arbitrator(s): James A. Lundberg
Hearing Site: Des Moines, IA
| | |
| 14-00272 | 08/20/2014 | Claimant(s): Rodney Potratz
Claimant Lawyers(s): Gara M. Seagraves
Respondent(s): Malea Jensen
Respondent Lawyers(s): Patrick B. White
Arbitrator(s): Leo G. Stern, Daniel E. Wright, Grant D. Sanders
Hearing Site: Des Moines, IA
| | Expungement |
| 13-00497 | 11/07/2013 | Claimant(s): David Myers, James Higgins
Claimant Lawyers(s): Todd Schnell
Respondent(s): Eldon Prybil
Respondent Lawyers(s): Heartsill Ragon
Arbitrator(s): Andrew R. Dick
Hearing Site: Des Moines, IA
| | Expungement |
| 11-02508 | 04/24/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Chad Andrews, Raymond James Financial Services.
Respondent Lawyers(s): Kelli Bullington, Peter Gardner
Arbitrator(s): Rolf V. Aronsen, Andrew R. Dick, John J. Sagness
Hearing Site: Des Moines, IA
| | |
| 10-03348 | 12/14/2011 | Claimant(s): Pruco Securities, Prudential Insurance Agency, The Purdential Insurance Co. of America
Claimant Lawyers(s): Stephen Castaldo
Respondent(s): Douglas Inlay
Respondent Lawyers(s): Douglas E. Inlay
Arbitrator(s): Thomas F. Mahoney, Lawrence R. Commers, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | |
| 11-01508 | 09/29/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William McGuane
Respondent Lawyers(s): William McGuane
Arbitrator(s): Leo G. Stern
Hearing Site: Des Moines, IA
| | |
| 11-00096 | 08/26/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Richard Yantis
Respondent Lawyers(s): Eric W. Johnson
Arbitrator(s): Robert S. Burk
Hearing Site: Des Moines, IA
| | |
| 09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide
Claimant Lawyers(s): Michael A. Dee
Respondent(s): David Jesse, Richard Keeling, Robin Marshall
Respondent Lawyers(s): John D. Hintze
Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray
Hearing Site: Des Moines, IA
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