| 09-07030 | 07/27/2010 | Claimant(s): Florence Isham
Claimant Lawyers(s): Fred S. Clark
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
|  | $0 |
| 09-01829 | 07/02/2010 | Claimant(s): Leo Steck, Mary Steck, The Leo A. Steck Trust, The Mary L. Steck EAL Trust,, The Mary L. Steck Rev Trust, The Mary L. Steck VFL Trust,, The Sally P. Limbert Trust
Claimant Lawyers(s): Sherri C. Strand
Respondent(s): James McClellan
Respondent Lawyers(s): James Steele McClellan
Arbitrator(s): Thomas J. Ray, Keith E. Mattern, William Stark Port
Hearing Site: St. Louis, MO
| | $382,550 |
| 09-01724 | 05/24/2010 | Claimant(s): Clyde Byram, Meleena Byram
Claimant Lawyers(s): Steven W. Koslovsky
Respondent(s): Julie Rosenthal, William Rosenthal, Rosenthal Retirement Planning LP
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Leah A. Murray, Robert W. Dempsey, Michael William Petty
Hearing Site: St. Louis, MO
| | $52,600 |
| 08-04919 | 03/26/2010 | Claimant(s): Mark Martin, Nancy Martin
Claimant Lawyers(s): Kenton E. Knickmeyer
Respondent(s): Charles Schwab & Co.., Cortland Associates Inc
Respondent Lawyers(s): Phillip J. Mackey, R. Prescott Sifton
Arbitrator(s): Thomas J. Ray, R. Phillip Reed, Julie L. DeWitt
Hearing Site: St. Louis, MO
| | $0 |
| 09-00362 | 02/24/2010 | Claimant(s): Patricia A. Lambert IRA, Carl E. Lambert and Patricia A. Lambert
Claimant Lawyers(s): Stuart R. Berkowitz
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Anthony J. Soukenik, James M. Stern, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
| 09-03271 | 02/12/2010 | Claimant(s): Estate of Roger D. Emling
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): UMB Financial Services.
Respondent Lawyers(s): Donald D. McBride
Arbitrator(s): Anthony J. Soukenik, Julie L. DeWitt, James M. Stern
Hearing Site: St. Louis, MO
| | $0 |
| 09-01900 | 02/02/2010 | Claimant(s): Elizabeth Roth
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Leonard Mcgehee
Respondent Lawyers(s): Tonya J. Austin
Arbitrator(s): M. Eileen Dorsey, Marilyn T. Selby, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $30,000 |
| 09-04431 | 12/15/2009 | Claimant(s): Jeanne Johnson
Claimant Lawyers(s): Jeanne M. Johnson
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kitoh Grey
Arbitrator(s):
Hearing Site: St. Louis, MO
| | $340 |
| 09-01419 | 11/30/2009 | Claimant(s): Mary Gordon
Claimant Lawyers(s): Mary K. Gordon
Respondent(s): Jeffrey Endicott
Respondent Lawyers(s): Amy B. Boyea
Arbitrator(s): Bruce S. Feldacker
Hearing Site: St. Louis, MO
| | $0 |
| 06-01762 | 11/24/2009 | Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $75,300 |
