| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
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| 18-02212 | 08/10/2018 | Claimant(s): Eliot Simon
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
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| 15-03390 | 09/30/2016 | Claimant(s): Hugh Murray
Claimant Lawyers(s): Hugh Vincent Murray
Respondent(s): Michael Standley, Steven Larson
Respondent Lawyers(s): Michael Thomas Standley, Steven Ellsworth Larson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
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| 15-00935 | 01/08/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): James Rotter
Respondent Lawyers(s): James Thomas Rotter
Arbitrator(s): Thomas J. Ray
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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| 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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| 09-00239 | 01/29/2014 | Claimant(s): Norman Meyer
Claimant Lawyers(s): Helmut Starr
Respondent(s): Questar Asset Management., Questar Capital Corporation
Respondent Lawyers(s): James F. Jorden
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Teresa Marie Boyer Allgeyer
Hearing Site: St. Louis, MO
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| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
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| 12-03051 | 12/02/2013 | Claimant(s): Gary Siegfried
Claimant Lawyers(s): Gary D. Siegfried
Respondent(s): John Sweeney, ING Financial Partners., ING Reliastar Life Insurance Company
Respondent Lawyers(s): James V. Garvey
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, Frederick Michael Switzer
Hearing Site: St. Louis, MO
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