| 12-01068 | 11/14/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Steven Elefson
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Thomas J. Ray, Jerry M. Deters, David Cottingham Mann
Hearing Site: St. Louis, MO
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| 12-02615 | 03/04/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A. Miller
Respondent(s): Christopher Pierce
Respondent Lawyers(s): Christopher Edward Pierce
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
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| 10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Hopkins
Arbitrator(s): Thomas J. Ray
Hearing Site: Louisville, KY
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| 11-03456 | 05/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Scottie Price
Respondent Lawyers(s): Scottie Ray Price
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, 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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| 10-01340 | 08/01/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): John Bauer
Respondent Lawyers(s): John T. Bauer
Arbitrator(s): Thomas J. Ray
Hearing Site: Dallas, TX
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| 10-04360 | 02/15/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Joseph Jackson
Respondent Lawyers(s): Joseph A. Jackson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
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| 06-03670 | 01/08/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michae Hampton
Respondent Lawyers(s): Albert S. Watkins
Arbitrator(s): Thomas J. Ray, Bruce S. Feldacker, Jesse David Hill
Hearing Site: St. Louis, MO
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