19-02734 | 09/16/2021 | Claimant(s): Patrick Taylor Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Dennis Murphy, Jamaal Potter, James Webb, Cape Securities Inc. Respondent Lawyers(s): Dennis James Murphy, Jamaal Nathan Potter, Judy A. Newcomb Arbitrator(s): John R. Loss Hearing Site: Kansas City, MO
| | $57,035 |
16-01613 | 06/22/2017 | Claimant(s): Jan Larson, Tab Larson, Estate of Kari Lyn Larson Claimant Lawyers(s): James B. Luers Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Steven Meyrich, Marilyn R. Lewis, John R. Loss Hearing Site: Omaha, NE
| | $440,158 |
15-00888 | 07/19/2016 | Claimant(s): Ranjit Singh, Kingsboro Claimant Lawyers(s): Kevin Galbraith Respondent(s): Berthel, Fisher & Company Financial Serv Respondent Lawyers(s): Vincent Louwagie Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss Hearing Site: Kansas City, MO
| | $0 |
14-02942 | 12/14/2015 | Claimant(s): Caroline Pruett Claimant Lawyers(s): John J. Miller Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Mark D. Knoll Arbitrator(s): Henry R. Cox, Betty R. Crumpton, John R. Loss Hearing Site: Kansas City, MO
| | $101,072 |
12-02966 | 01/06/2014 | Claimant(s): Robert Schneider Claimant Lawyers(s): Christopher J. Gray Respondent(s): John Chmielewski, Investment Planners. Respondent Lawyers(s): Thomas Vays Arbitrator(s): John R. Loss Hearing Site: St. Louis, MO
| | Expungement |
13-00640 | 11/06/2013 | Claimant(s): Theodore R. Davis Trust DTD 3/8/2007 Claimant Lawyers(s): Thomas F. Burke Respondent(s): Sunset Financial Services. Respondent Lawyers(s): Stephen J. Fields Arbitrator(s): Michael A. Rzewnicki, John R. Loss, David F. Barrett Hearing Site: Kansas City, MO
| | $234,466 |
10-05786 | 01/14/2013 | Claimant(s): Charles Heckert, Janice Heckert, Heckert Contruction Co. Claimant Lawyers(s): Benjamin Lapin Respondent(s): Bruce Treitman, Deutsche Bank Securities. Respondent Lawyers(s): Mark Parmelee Arbitrator(s): Patricia M. Bottoms, John R. Loss, Michael Braude Hearing Site: Kansas City, MO
| | Expungement |
11-00870 | 03/26/2012 | Claimant(s): Doxa Family Partnership, L.P., Emily A. Schwarz Rev Living Trust, George Weber Jr. Trust etc. Claimant Lawyers(s): Ronald B. Ziegler Respondent(s): LPL Financial LLC, Peter Reinecke Respondent Lawyers(s): Donald J. Mehan, Peter W. Gillies Arbitrator(s): Gerald Cohen, John R. Loss, Casey John Whalley Hearing Site: St. Louis, MO
| | Expungement |
10-04374 | 11/22/2011 | Claimant(s): Grisel Wiley, Jerry Wiley, Grisel Wiley Irrevocable Life Ins. Trust, Jerry Wiley Irrevocable Life Ins Trust, The Grisel Wiley Living Trust Claimant Lawyers(s): John J. Miller Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Ronald P. Kane Arbitrator(s): Sherry L. Robinson, John R. Loss, Michael J. Hunter Hearing Site: Kansas City, MO
| | $0 |
07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk Claimant Lawyers(s): John J. Allan Respondent(s): Kelly Waller, A.G. Edwards & Sons. Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng Hearing Site: St. Louis, MO
| | $0 |