17-02855 | 05/30/2019 | Claimant(s): Donald L. and Beverly C. Hamill Claimant Lawyers(s): Donald Hamill Respondent(s): David Harris, Doris Burr, Gregory Shea, Harry Peters, Joseph Hooper, Justin Burr, Kevin Cline, Robert Burr, Russell Newton, Stephen Larkin, Blue Ridge Group., Source Capital Group. Respondent Lawyers(s): Company President, David Webster Harris, David Harris, Doris R. Burr, Harry Peters, Michael A. Valenti, Russell William Newton, Stephen Carl Larkin, Travis Creed Arbitrator(s): Michael S. Matek, Mark S. Foster, Michael D. Fitzgerald Hearing Site: Omaha, NE
| | $0 |
15-02089 | 05/25/2017 | Claimant(s): Dickie Moritz, Phyllis A. Mortiz Revocable Trust Claimant Lawyers(s): Kristian P. Kraszewski Respondent(s): Wells Fargo Advisors, Summit Brokerage Services. Respondent Lawyers(s): Alan S. Rafterman, John W. Shaw Arbitrator(s): Michael D. Fitzgerald, Rody P. Biggert, Lawrence R. Rute Hearing Site: Kansas City, MO
| | Expungement |
16-00178 | 11/17/2016 | Claimant(s): The Estate of Charline D. Smith Claimant Lawyers(s): Jonathan E. Neuman Respondent(s): Edward Jones Respondent Lawyers(s): Paul Yarns. Arbitrator(s): Michael D. Fitzgerald Hearing Site: Kansas City, MO
| | Expungement |
14-03206 | 10/28/2016 | Claimant(s): Paul Levy Claimant Lawyers(s): Jeffrey Steinbrecher Respondent(s): TD Ameritrade. Respondent Lawyers(s): Meagan A. Lamberti Arbitrator(s): Mark S. Foster, Thomas B. Phillips, Michael D. Fitzgerald Hearing Site: Kansas City, MO
| | $0 |
15-00074 | 06/16/2016 | Claimant(s): Mark Schroeder Claimant Lawyers(s): Chad C. Beaver Respondent(s): Wachovia Securities Financial Network, Wells Fargo Advisors, Jeffrey Holloway, First Clearing, Sean Harman, Timothy Tadlock, Holloway and Harman Capital Management, Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Joseph R. Soraghan, Michael D. Fitzgerald, Dennis Shrewsbury Hearing Site: Kansas City, MO
| | $423,770 |
14-02133 | 08/04/2015 | Claimant(s): Deanna Braun, Richard Braun Claimant Lawyers(s): Jonathan E Neuman Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward A. Walton Arbitrator(s): Mark S. Foster, Larry R. Trussell, Michael D. Fitzgerald Hearing Site: Omaha, NE
| | $43,999 |
10-03498 | 08/23/2012 | Claimant(s): Glenna Wylie, Jack Wylie, Glenna Y. Wylie Trust U/A/D 5/2/91, Jack F. Wylie Trust U/A/D 5/2/91 Claimant Lawyers(s): Gordon D. Gee Respondent(s): Morgan Stanley Respondent Lawyers(s): William A. Hohauser Arbitrator(s): Michael D. Fitzgerald, Bruce Keplinger, Ronald G. Bruch Hearing Site: Kansas City, MO
| | $272,650 |
10-00417 | 10/24/2011 | Claimant(s): John Wesolak, Rhonda Wesolak Claimant Lawyers(s): Rhonda Wesloak Respondent(s): Anthony Salino, Lynn Schultz, Ron Ison, Mercer Capital LTD Respondent Lawyers(s): Anthonly J. Salino, Lynn G. Schultz, Ron J. Ison Arbitrator(s): Joseph E. Santaularia, Michael D. Fitzgerald, Robert A. Steitz Hearing Site: Kansas City, MO
| | $225,000 |
10-02903 | 08/04/2011 | Claimant(s): Kevin Swallow Claimant Lawyers(s): Barry D. Estell Respondent(s): Timothy Collins, Clarus Capital Partners, Interactive Brokers LLC Respondent Lawyers(s): David L. Marcus, John J. Nielands Arbitrator(s): Michael D. Fitzgerald Hearing Site: Kansas City, MO
| | $0 |
10-01982 | 06/21/2011 | Claimant(s): Margaret Lyddon, The Margaret C. Lyddon Rev. Trust Claimant Lawyers(s): John J. Miller Respondent(s): Bankers & Investors Co. Respondent Lawyers(s): Roger N. Walter Arbitrator(s): Michael D. Fitzgerald, John W. Jones, Walter N. Vernon Hearing Site: Kansas City, MO
| | $0 |