| 08-00525 | 11/06/2008 | Claimant(s): Josef Westkamp
Claimant Lawyers(s): Werner A. Meier
Respondent(s): Huntleigh Securities Corporation
Respondent Lawyers(s): David B. Helms
Arbitrator(s): R. Phillip Reed, Dennis Jay Capriglione, Alan A. Sachs
Hearing Site: St. Louis, MO
|  | Dismissed by Rule 12206 |
| 07-02742 | 11/03/2008 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Alicia Etre
Respondent(s): Gene Harshman, Karen Loeschen, Krista Savage, Merrill Lynch Pierce Fenner & Smith Inc., Richard Marcolla, Robert Barry, Thomas Cutrone, William Easterling
Respondent Lawyers(s): Curtis C. Calloway, Todd J. Kaiser
Arbitrator(s): John N. Reidy, Frederick Michael Switzer, John Bruce Witwer
Hearing Site: St. Louis, MO
| | $265,500 |
| 06-02307 | 10/15/2008 | Claimant(s): Robert J. and Betty J. Treat
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter
Hearing Site: St. Louis, MO
| | $99,295 |
| 07-02976 | 09/15/2008 | Claimant(s): Mary Sammelman
Claimant Lawyers(s): Steven Koslovsky
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Carrie J. Bechtold
Arbitrator(s): Michael L. Lyons, Sean Patrick Abernathy, Stuart W. Smith
Hearing Site: St. Louis, MO
| | $0 |
| 08-00724 | 08/27/2008 | Claimant(s): Gerry Kessler
Claimant Lawyers(s): Howard W. Hirschhorn
Respondent(s): William Cody
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Michael L. Lyons, Thomas J. Ray, Mark E. Kessinger
Hearing Site: St. Louis, MO
| | $0 |
| 06-05382 | 08/21/2008 | Claimant(s): Delmer Urbanczyk
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): Janet Urbanczyk, Marvin Urbanczyk, A.G. Edwards & Sons., Roger David, Edward Jones
Respondent Lawyers(s): Donald D. McBride, Frederic M. Wolfram, William S. Port
Arbitrator(s): Albert J. Haller, David B. Lacks, David A. Fingerhut
Hearing Site: St. Louis, MO
| | Account transfer request is granted |
| 07-01428 | 08/21/2008 | Claimant(s): Alberta Murstein, Alberta Sue Murstein Rev. Living Trust
Claimant Lawyers(s): David O. Kreuter
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Douglas Appel
Arbitrator(s): M. Eileen Dorsey, Albert J. Haller, Frederick Michael Switzer
Hearing Site: St. Louis, MO
| | $16,000 |
| 07-01657 | 06/12/2008 | Claimant(s): Robert Baker, Shirley Baker, Robert J. and Shirley J. Baker Trust
Claimant Lawyers(s): Steve Koslovsky
Respondent(s): R. Rose, Financial Planning Consultants Inc.
Respondent Lawyers(s): Alex M. Kanter
Arbitrator(s): Lynn D. (Doug) Newton, David B. Lacks, James M. Stern
Hearing Site: St. Louis, MO
| | $0 |
| 07-03178 | 04/16/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): David Pool
Respondent Lawyers(s): David Pool
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
| | $0 |
| 06-04978 | 03/07/2008 | Claimant(s): Emily Firebaugh
Claimant Lawyers(s): Jerome F. Raskas
Respondent(s): CIBC World Markets Corp., A.G. Edwards & Sons.
Respondent Lawyers(s): Elizabeth Aylett, Nancy A. Tayborn
Arbitrator(s): Albert J. Haller, Terra Case Sander, David F. Barrett
Hearing Site: St. Louis, MO
| | $110,000 |
